Search for: "Financial Industry Regulatory Authority, Inc."
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4 Mar 2021, 9:59 am
Latin American Investor Alleges Elder Financial Fraud And Abuse In a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services, Inc. [read post]
24 Apr 2018, 10:46 am
This information, which is publicly available on the Financial Industry Regulatory Authority’s website, has been provided by The White Law Group. [read post]
12 Oct 2021, 11:59 am
Ex-Raymond James Broker Sara Komischke Unsuitably Recommended Off-Shore Investment A Maine investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Raymond James Financial Services, Inc. over his Northstar Financial Services (Bermuda) investment losses. [read post]
9 Nov 2021, 7:18 am
FINRA Bars Broker David Melilli after Allegations of Excessive, Unsuitable Trades According to the Financial Industry Regulatory Authority (FINRA), on November 8, 2021, the regulator has barred former Sagepoint Financial advisor David Melilli of Moorestown, New Jersey after he reportedly refused to provide information in its investigation. [read post]
27 Oct 2011, 12:30 pm
Boogie Investment Group Inc. has submitted its withdrawal request to the Financial Industry Regulatory Authority. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
7 Apr 2020, 6:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Walker concern allegations over various annuities, insurance, and variable annuity sales practices. [read post]
20 Jan 2016, 7:24 am
And then your head explodes.Case In PointFor 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, Coker & Palmer, Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
23 Mar 2020, 6:56 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Carl Antaki (Antaki), currently associated with Network 1 Financial Securities Inc. [read post]
5 Feb 2021, 2:56 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Lisa Ann Brumm (also known as Lisa Am Brumm and Lisa Ann Moon) from the securities industry for six months and fined her $7,500. [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES SEC Sends F... [read post]
1 Jul 2015, 1:50 pm
Leone (“Leone”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. [read post]
10 Aug 2010, 2:31 am
A Financial Industry Regulatory Authority arbitration panel has ordered UBS Financial Services Inc. to pay investor Kajeet Inc. $80.8 million for failed auction-rate securities. [read post]
22 Jul 2016, 9:48 am
Abrams is currently employed and registered with Ameriprise Financial Services, Inc., and works at the broker-dealer’s Marlton, New Jersey office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Jan 2014, 6:10 am
On December 13, 2013, Financial Industry Regulatory Authority Inc. [read post]
23 Nov 2016, 6:46 am
In October 2015, the Financial Services Industry Regulatory Authority, Inc. [read post]
20 Jul 2016, 10:18 am
The Financial Industry Regulatory Authority (FINRA) announced on July 19, 2016 in a News Release that it had fined Prudential Annuities Distributors, Inc. $950,000 for “failing to detect and prevent a scheme that resulted in the theft of approximately $1.3 million from an 89-year-old customer’s variable annuity account. [read post]
3 Jan 2019, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Clinton concern allegations of unsuitable investments among other allegations. [read post]
31 Jan 2019, 12:59 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Aziz’s customer complaints allege that Aziz made unsuitable recommendations in a variety of investments. [read post]
16 Jun 2014, 10:23 pm
A press release from December points out what happens to private companies that are as careless about preserving records as the IRS claims to be: The Financial Industry Regulatory Authority (FINRA) announced today that it fined Barclays Capital Inc. $3.75 million for systemic failures to preserve electronic records and certain emails and instant messages in the manner required for a period of at least 10 years. [read post]
