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Disclosure Events
This advisor (Robert A. Maiocco) has disclosure filings listed.
When financial advisors have events in their
practice that could influence their ability to advise clients, they’re
required to disclose those events to regulators. Such disclosure event
filings can include certain criminal and civil matters, regulatory
actions against them, customer complaints or instances of arbitration or
termination of employment. The existence of such filings may not result
in censure or penalty for an advisor and customer complaints against
advisors may be frivolous. Also, such filings may not represent all
regulatory or legal actions against a firm or advisor. For more detailed
information on Robert Maiocco’s conduct, please visit Finra’s BrokerCheck, the SEC’s Investment Adviser Public Disclosure database, or your state’s regulatory agencies.
http://money.usnews.com/financial-advisors/advisor/robert-maiocco-317529
MAIOCCO ALLEGEDLY NEVER DISCLOSED DISCLOSURE EVENTS TO HIS COLLEAGUES ON THE CITY COUNCIL, IT IS ALLEGED, WHEN UNCLE BOB WANTED TO BE COUNCIL PRESIDENT. YA THINK ANYONE WOULD HAVE VOTED FOR THE JERK HAD THEY BEEN ADVISED OF HIS ACTIVITIES AS A FINANCIAL ADVISER?
Your new Budget Director in Medfraud?
For more detailed information on Robert Maiocco’s conduct, please visit Finra’s BrokerCheck, the SEC’s Investment Adviser Public Disclosure database, or your state’s regulatory agencies.
Such disclosure event filings can include certain criminal and civil matters, regulatory actions against them, customer complaints or instances of arbitration or termination of employment.
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IN OTHER NEWS...
Malden district court Judge Paul J. Cavanaugh, left, presides over arraignment of Edward Harris at MGH. Harris was allegedly involved in a Malden hold-up. To Cavanaugh's right: television sound-man, Malden police officer, assistant D.A. Bob Healy, and Jim Leonard, an MGH investigator.
see photo
http://www.gettyimages.com/detail/news-photo/malden-district-court-judge-paul-j-cavanaugh-left-presides-news-photo/136641309