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H&R Block Financial Advisors, Inc., formerly Olde Discount Corporation

H&R Block Financial Advisors, Inc., formerly Olde Discount Corporation (CRD #5979, Detroit, Michigan) received a censure and fine of $40,000. In addition, the firm was required to establish and provide to the NASD amended written procedures reasonably designed to achieve compliance with the current requirements with respect to timely filing of amendments involving Disclosure Reporting Pages, Forms U-4, and Forms U-5. According to the findings, the firm failed to file Forms U-4 and Forms U-5 within 30 days after learning of reportable events or after learning of facts and circumstances giving rise to the requirement to amend such forms. The firm accepted the fine and censure but did not admit or deny the accusations. (NASD Case #C8A010004)

Did H&R Block Financial Advisors, Inc., formerly Olde Discount Corporation manage your investments?

 

 

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