First Horizon Advisors, Inc.

Date:

April 30, 2022

Type of alert:

FINRA AWC  

First Horizon Advisors, Inc. recently entered into a FINRA Acceptance, Waiver, and Consent. The firm allegedly failed to supervise a registered representative who engaged in undisclosed business activities. First Horizon Advisors ignored red flags such as the representative’s 100+ trades per month, large cash transfers, and more. The firm consented, without confirming or denying the allegations, to a censure and a $175,000 fine.

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