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Finra Benches Former Wentworth CEO  

The former head of broker-dealer aggregator Wentworth Management Services has agreed to a five-month suspension and $10,000 fine to resolve allegations by the Financial Industry Regulatory Authority. So reports AdvisorHub.

finra 2Ryan Morfin neither admitted nor denied Finra’s findings that failed to properly register as a general securities principal in 2021 and 2022, according to the official documents.

A prominent Wentworth subsidiary among investment advisors is Purshe Kaplan Sterling Investments.

Read the full article from AdvisorHub.

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