Search for: "Financial Industry Regulatory Authority, Inc."
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27 Dec 2023, 6:09 pm
July 2018 – The Financial Industry Regulatory Authority (FINRA) reportedly barred former Independent Financial Group advisor Kyusun “Kenny” Kim from working in the securities industry after he allegedly made unsuitable recommendations to numerous senior customers that they concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
9 Jun 2009, 8:15 am
There are perceived advantages and risks associated with concentrating regulatory authority in a single regulator. [read post]
29 Dec 2018, 7:42 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action against Kabana concern allegations over variable annuity sales practices. [read post]
17 Mar 2021, 9:51 am
Cambridge Investment Research, a national financial advisory firm headquartered in Fairfield, Iowa, reportedly has 12 disclosure events on its broker record including 8 regulatory events, and 4 arbitrations, according to the Financial Industry Regulatory Authority (FINRA). [read post]
26 Aug 2009, 12:54 pm
Amerivet Securities Inc. has filed a complaint suing the Financial Industry Regulatory Authority. [read post]
29 Mar 2012, 12:55 pm
., a former financial adviser and registered representative of Centaurus Financial Inc., was recently suspended and fined by the Financial Industry Regulatory Authority (FINRA) over allegedly misrepresenting guaranteed returns on variable annuities to several investors. [read post]
15 Jun 2011, 7:11 am
In one of the largest dollar awards to date in a Lehman note case against UBS Financial Services Inc., a Financial Industry Regulatory Authority (FINRA) arbitration panel [read post]
30 Apr 2009, 11:48 am
The Financial Industry Regulatory Authority (FINRA) announced this week that it has fined Centaurus Financial, Inc. $175,000 for failing to protect confidential customer information. [read post]
12 Jul 2016, 7:27 am
Delfino had been employed and registered with Ameriprise Financial Services, Inc., a broker-dealer, from October 2009 to November 2015, according to her publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority. [read post]
26 May 2020, 1:50 pm
On February 12, 2020, the Financial Industry Regulatory Authority (“FINRA”) permanently barred Ronald Hannes (Ronald Walter Hannes CRD# 1452241) from associating with any FINRA member in any capacity for refusing to cooperate with FINRA officials during their investigation of him for conversion of consumer funds. [read post]
7 Jan 2020, 9:33 am
James Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment adviser or otherwise associating with a broker-dealer or provider of securities and/or investment advice. [read post]
7 Apr 2011, 1:49 pm
According to a recent InvestmentNews article, the Financial Industry Regulatory Authority Inc. [read post]
15 Apr 2018, 6:10 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Instinet, LLC, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
29 Jul 2019, 12:12 pm
FINRA Sanctions Woodbury Financial Services for Variable Annuities Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Woodbury Financial Services (CRD #421, Oakdale, Minnesota) on May 13, 2019. [read post]
4 Sep 2018, 2:24 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Woodstock Financial Group, Inc. [read post]
12 Mar 2021, 11:01 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against broker Clyde Anthony Jensen. [read post]
9 Apr 2018, 10:02 am
Former Liberty Partners Financial Services broker Jeffery Fanning was recently suspended from the securities industry for six months by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Sep 2013, 11:04 am
The Financial Industry Regulatory Authority (FINRA) has barred Ralph Saviano (Saviano) from the securities industry after the broker failed to respond to FINRA’s requests for information and an interview concerning unreported tax liens, a civil judgment, and a customer complaint involving the misuse of funds. [read post]
21 Feb 2018, 6:40 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Marcus Parker was permanently barred from the industry. [read post]
16 May 2022, 6:42 am
Elderly Couple is Seeking Up to $500K Plus Interest and Costs Against Centaurus Financial Two older investors, both retired and on disability, have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Centaurus Financial over losses they sustained from purchasing GWG L Bonds. [read post]
