The analyst twice purchased securities after he learned a fellow analyst was upgrading his recommendation in impending research reports and then lied to Finra staff about his trading.
Andrew Meredith and Kevin Lindung are based in Towson, Maryland.
Walnut Beech Advisors maintains offices in Michigan and New York
Bitcoin hit a record of more than $64,000 as Coinbase Global Inc., the largest U.S. cryptocurrency exchange, went public last week. Advisers and Wall Street have reached an inflection point when it comes to cryptocurrencies.
Low Group, a four-person team, is based in Bloomfield Hills, Michigan.
Martin Silver of International Investment Group in Long Branch, N.J., will pay penalties to be determined.
The three-adviser Marshall & Whatley Investment Group is based in Harrisonburg, Virginia.
Candidates will have the choice of taking the test in person or via remote proctoring in November as well.
Peter Vacheron and the team at IBG Financial Partners in Foxborough, Massachusetts, will join Hub’s retirement unit.
Kip Adams and his team in Fort Worth, Texas, serve as the retirement and private wealth leaders for Gus Bates Insurance & Investments.
