{"id":2799,"date":"2016-03-07T00:00:00","date_gmt":"2016-03-07T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/"},"modified":"2018-10-08T12:39:42","modified_gmt":"2018-10-08T16:39:42","slug":"wfg-investments-broker-carl-busch-fined-suspended-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/","title":{"rendered":"WFG Investments Broker Carl Busch Fined and Suspended by FINRA"},"content":{"rendered":"<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone wp-image-2747\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/WFG-Investments-Broker-Carl-Busch-Fined-and-Suspended-by-FINRA.jpg\" alt=\"WFG Investments Broker Carl Busch Fined and Suspended by FINRA on silverlaw.com\" width=\"417\" height=\"278\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/WFG-Investments-Broker-Carl-Busch-Fined-and-Suspended-by-FINRA.jpg 1698w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/WFG-Investments-Broker-Carl-Busch-Fined-and-Suspended-by-FINRA-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/WFG-Investments-Broker-Carl-Busch-Fined-and-Suspended-by-FINRA-768x512.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/WFG-Investments-Broker-Carl-Busch-Fined-and-Suspended-by-FINRA-1024x682.jpg 1024w\" sizes=\"auto, (max-width: 417px) 100vw, 417px\" \/><\/p>\n<h2>Broker\u2019s record includes failure to supervise, tax liens and civil judgments.<\/h2>\n<p style=\"text-align: justify;\">In his 46 years in the securities industry, Oklahoma City investment advisor Carl Busch has <a href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/36837\"  target=\"_blank\"><span style=\"text-decoration: underline;\">six disclosure events<\/span><\/a> listed on his official FINRA BrokerCheck record. The most recent event in December 2015 shows that FINRA sanctioned Busch $5,000 and suspended him from participating in the securities industry as an advisor for 45 days.<\/p>\n<p style=\"text-align: justify;\">According to the<a href=\"http:\/\/disciplinaryactions.finra.org\/Search\/ViewDocument\/63934\"  target=\"_blank\"><span style=\"text-decoration: underline;\"> disciplinary action details<\/span><\/a>, Busch failed to adequately supervise a registered representative of his firm, WFG Investments, who allegedly:<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/\"  title=\"Continue Reading WFG Investments Broker Carl Busch Fined and Suspended by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Broker\u2019s record includes failure to supervise, tax liens and civil judgments. In his 46 years in the securities industry, Oklahoma City investment advisor Carl Busch has six disclosure events listed on his official FINRA BrokerCheck record. The most recent event in December 2015 shows that FINRA sanctioned Busch $5,000 and suspended him from participating in [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[588],"tags":[384,385,65],"class_list":["post-2799","post","type-post","status-publish","format-standard","hentry","category-finra-arbitration","tag-broker-carl-busch","tag-suspended-by-finra","tag-wfg-investments"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>WFG Investments Broker Carl Busch Fined and Suspended by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; March 7, 2016<\/title>\n<meta name=\"description\" content=\"Check out the new article WFG Investments Broker Carl Busch Fined and Suspended by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"WFG Investments Broker Carl Busch Fined and Suspended by FINRA &#8212; 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Securities Arbitration Lawyers Blog &#8212; March 7, 2016","twitter_description":"Check out the new article WFG Investments Broker Carl Busch Fined and Suspended by FINRA on silverlaw.com","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/WFG-Investments-Broker-Carl-Busch-Fined-and-Suspended-by-FINRA.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"WFG Investments Broker Carl Busch Fined and Suspended by FINRA","datePublished":"2016-03-07T05:00:00+00:00","dateModified":"2018-10-08T16:39:42+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/"},"wordCount":402,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/WFG-Investments-Broker-Carl-Busch-Fined-and-Suspended-by-FINRA.jpg","keywords":["Broker Carl Busch","Suspended by FINRA","WFG Investments"],"articleSection":["FINRA Arbitration"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/","url":"https:\/\/www.silverlaw.com\/blog\/wfg-investments-broker-carl-busch-fined-suspended-finra\/","name":"WFG Investments Broker Carl Busch Fined and Suspended by FINRA &#8212; 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