Search for: "Financial Industry Regulatory Authority, Inc."
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18 May 2011, 12:39 pm
The Financial Industry Regulatory Authority (andlsquo;FINRAandrsquo;) launched today its new Disciplinary Actions Online database, which provides access to Finra complaints against firms and individual brokers, settlement agreements (known as Letters of Acceptance Waivers and Consent, or AWCs), decisions by Finra hearing panels and National Adjudicatory Council decisions. [read post]
18 May 2011, 12:37 pm
andnbsp; The Financial Industry Regulatory Authority (andlsquo;FINRAandrsquo;) launched today its new Disciplinary Actions Online database, which provides access to Finra complaints against firms and individual brokers, settlement agreements (known as Letters of Acceptance Waivers and Consent, or AWCs), decisions by Finra hearing panels and National Adjudicatory Council decisions. [read post]
17 Feb 2023, 5:06 am
The Financial Industry Regulatory Authority (FINRA) FINRA, or the Financial Industry Regulatory Authority, is private corporation that acts as a self-regulatory organization. [read post]
31 Jul 2007, 7:04 am
The Financial Industry Regulatory Authority (FINRA), was created from a combination of NYSE Regulation Inc. and NASD (National Association of Securities Dealers) regulatory arms. [read post]
23 Mar 2018, 6:06 am
FINRA stands for Financial Industry Regulatory Authority. [read post]
9 Nov 2021, 9:29 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Leonard Marzocco from the securities industry. [read post]
20 Aug 2021, 1:48 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbrokers Alfonse Stazzone and Maxim Beliakov from the securities industry for four months. [read post]
28 Dec 2018, 6:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Bittermann’s customer complaints allege that Bittermann made unsuitable recommendations. [read post]
6 Jul 2021, 7:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Juan Ceja from the securities industry. [read post]
5 Feb 2021, 11:33 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Paul Francoeur from the securities industry. [read post]
19 Mar 2021, 9:13 am
The Financial Industry Regulatory Authority Inc. [read post]
14 Apr 2023, 11:27 am
The White Law Group reviews the regulatory history of Prospera Financial Services Inc. [read post]
21 Jul 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Enoch Booth from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
9 Nov 2021, 6:40 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Melilli from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
27 Nov 2018, 5:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Kujawski concern allegations of unsuitable investments and material misrepresentations concerning investments being recommended. [read post]
17 May 2021, 12:00 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Dixon. from the securities industry. [read post]
30 Mar 2021, 11:48 am
The Financial Industry Regulatory Authority (“FINRA”) has J.W. [read post]
12 Sep 2022, 12:23 pm
Sagepoint Reportedly Sanctioned for Supervisory Failures involving Unsuitable use of Margin According to public disclosures, the Financial Industry Regulatory Authority (FINRA) has reportedly censured and fined Sagepoint Financial $35,000 for supervisory failures on September 9, 2022. [read post]
23 Apr 2015, 11:46 am
EDI Financial, Inc. in Irving, Texas has been censured and fined $100,000 by the Financial Industry Regulatory Authority, according to a recent report issued by FINRA. [read post]
23 Sep 2019, 6:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Cagle’s customer complaints allege that Cagle recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
