Investment rep fined over disclosure rules

September 28, 2013

A Bartholomew County investment representative will pay a $20,000 fine under an agreement with regulators over allegations he failed to make proper disclosures in research reports.

Charles Rentschler, of Hartsville, accepted the discipline by the Financial Industry Regulatory Authority without admitting or denying violations.

Rentschler has no disciplinary history with FINRA, the Securities and Exchange Commission or with state securities regulators. FINRA alleges Rentschler issued 22 research reports covering four companies through his member firm, Morgan Joseph Triartisan, without disclosing that his household had a financial interest in the securities of some of the companies.


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