Search for: "Financial Industry Regulatory Authority, Inc."
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21 May 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Carl Antaki from the securities industry for three months. [read post]
18 Apr 2022, 7:24 am
FINRA Censures and Fines IBN Financial Services for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on April 14, the regulator has censured and fined IBN Financial Services $45,000 and ordered the firm to pay partial restitution of $32,385, plus interest. [read post]
29 Jan 2017, 10:53 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Glime (Glime) formerly associated with Capital Investment Group, Inc. [read post]
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
17 May 2021, 11:35 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Eric Vici. from the securities industry. [read post]
9 Jun 2023, 10:50 am
The Financial Industry Regulatory Authority Inc. promoted Nathaniel Stankard to executive vice president and chief of staff to the CEO for regulatory operations. [read post]
14 Apr 2021, 2:14 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Dellaporta, Jr. from the securities industry. [read post]
29 Mar 2021, 12:04 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Victor A. [read post]
14 Apr 2021, 12:56 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Hugues Guirand. [read post]
21 Jun 2020, 9:03 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Kennedy was employed by his prior employer Woodbury Financial Services, Inc. [read post]
16 Aug 2021, 7:05 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Jason Seale from the securities industry for 15 business days. [read post]
24 Jun 2020, 6:29 am
The post The Financial Industry Regulatory Authority (FINRA) Bars Arthur Hoffman’s Broker Registration as a Customer Wages Ponzi Scheme Accusations Against Him Involving Zima Global Ventures appeared first on Goldman, Scarlato & Penny P.C.. [read post]
24 Jun 2020, 6:29 am
The post The Financial Industry Regulatory Authority (FINRA) Bars Arthur Hoffman’s Broker Registration as a Customer Wages Ponzi Scheme Accusations Against Him Involving Zima Global Ventures appeared first on Goldman, Scarlato & Penny P.C.. [read post]
7 May 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Neely has been accused by FINRA of engaging in unauthorized trading in client accounts. [read post]
10 May 2023, 9:59 am
In a recent regulatory case, on May 5, 2023, the Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers imposed sanctions on Centaurus Financial, Inc. and its financial advisor Donnie Ingram for engaging in unsuitable and unethical practices, as well as supervisory failures. [read post]
2 Sep 2022, 6:54 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Parakhnevich customer complaints allege that Parakhnevich engaged in unsuitable investment practices and excessive trading, among other allegations made by customers. [read post]
6 Apr 2021, 6:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Dawson James Securities, Inc. [read post]
5 Dec 2016, 6:26 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Guy Deemer (Deemer) currently registered with IFS Securities, alleging excessive trading or churning and unauthorized trading among other claims. [read post]
3 Oct 2019, 3:44 am
It was the third straight decline since 2016, when there were 639,457 registered reps.In 2018, there were 3,607 brokerage firms registered with the Financial Industry Regulatory Authority Inc. [read post]
6 Jul 2021, 2:12 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor John Swon from the securities industry. [read post]
29 Aug 2016, 12:53 am
Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.Candidates for Finra board want greater focus on regulatory pain of small firms: [read post]
