Search for: "Financial Industry Regulatory Authority, Inc."
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23 Nov 2016, 1:26 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael DiGaetano (DiGaetano) currently associated with Independent Financial Group, LLC (Independent Financial) alleging unsuitable investments, misrepresentations, fraud, negligence, breach of contract, and breach of fiduciary duty among other claims. [read post]
17 Apr 2015, 10:35 am
The Financial Industry Regulatory Authority (FINRA) announced on March 30, 2015 that it fined H. [read post]
6 Oct 2022, 2:11 pm
An investor who lost $1 million investing in variable annuities sold by Northstar Financial Services (Bermuda) has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., and the Hancock Whitney broker who concentrated his retirement portfolio in Northstar offerings. [read post]
4 Sep 2015, 11:34 am
Financial Industry Regulatory Authority (FINRA ) issued a new investor alert this week, Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams, warning investors to be wary of investment schemes forwarded to them on the popular messaging platform WhatsApp. [read post]
28 Apr 2021, 7:38 am
Central American Retiree Worked with Louisiana-based Financial Advisor Robin Platt In his Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., a senior investor in Central America is seeking up to $5M in damages. [read post]
29 Aug 2016, 1:33 pm
Ariola was last employed and registered with Financial Telesis, Inc., an Aliso Viejo broker-dealer, from November 2012 to September 2014, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Aug 2016, 1:33 pm
Ariola was last employed and registered with Financial Telesis, Inc., an Aliso Viejo broker-dealer, from November 2012 to September 2014, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Sep 2013, 5:58 am
Kmetz (Kmetz) was barred by the Financial Industry Regulatory Authority (FINRA) over allegations concerning the sale of securities away from his member firm involving an elderly customer by accepting a bar from the securities industry. [read post]
19 Dec 2016, 7:56 am
The Financial Industry Regulatory Authority Inc. on Thursday hit Allstate Financial Services with $1 million dollar fine for a breakdown of the firm’s failure to supervise information. [read post]
10 Jun 2023, 5:01 pm
The Financial Industry Regulatory Authority Inc. said Friday it had fined a small broker-dealer, Laidlaw & Co. [read post]
5 Aug 2016, 12:45 pm
Wisniewski is currently employed and registered with Newbridge Securities Corporation and works at the broker-dealer’s Boca Raton, Florida office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
8 Sep 2021, 9:14 am
On September 7, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Santander Investment Securities Inc. [read post]
9 Dec 2016, 7:25 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Cary Kievman (Kievman) alleging unsuitable investments and over concentrated positions among other claims. [read post]
10 Dec 2015, 1:13 pm
According to the Financial Industry Regulatory Authority’s (FINRA) website, FINRA recently filed a complaint against Cantone Research and its President, Anthony J. [read post]
11 Dec 2015, 4:10 pm
According to the Financial Industry Regulatory Authority’s (FINRA) website, FINRA recently filed a complaint against Cantone Research and its President, Anthony J. [read post]
11 Sep 2021, 10:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Santiago’s customer complaints alleges that Santiago recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts. [read post]
17 Jun 2011, 7:18 am
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
22 Sep 2016, 7:04 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Woodbury Financial Services, Inc. [read post]
20 Dec 2022, 9:11 am
FINRA Investigation involving John Matson, LPL Financial According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor John Nicholas Matson (CRD#: 1796541) from associating with any FINRA member at any time after he failed to provide information in its investigation. [read post]
25 Aug 2022, 8:32 am
FINRA Censures and Fines Capital Investment Group Inc. for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on August 22, 2022, the regulator censured and fined Capital Investment Group Inc. $50,000 and ordered the firm to pay partial restitution of $64,800, plus interest. [read post]
