Regulators: Banned broker continued advising clients
The Ohio Division of Securities issued a notice that it intends to file a cease-and-desist order against a banned broker who allegedly continued to act as an investment adviser
The Ohio Division of Securities issued a notice that it intends to file a cease-and-desist order against a banned broker who allegedly continued to act as an investment adviser.
According to the June 16 notification, Kevin O'Brien has been operating his own investment advisory firm —
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