Checks take place monthly.Īfter checking the regulatory records of Cuso Financial Services, our system has identified the following question(s) to ask. Our system found no other disciplinary questions to ask.
The SEC, CFTC, or another regulatory agency has previously entered an order against Cuso Financial Services or an advisory affiliate in connection with an investment-related activity.Ĭuso Financial Services or one of its employees previously has been subject to a suspension or expulsion or other restriction of activities with a Self-Regulating Organization or commodities exchange. What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?Ĭuso Financial Services or an advisory affiliate was previously involved with violating a regulation or statute by a domestic or foreign court, the SEC, CFTC, or another regulatory body or commodities exchange.Ĭuso Financial Services or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC. Learn more.Ĭuso Financial Services or an advisory affiliate was previously found guilty of making false statements or omissions by the SEC, CFTC, or another regulatory agency or organization. After checking the disciplinary records of Cuso Financial Services, our system has identified the following question(s) to ask.
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