Search for: "Financial Industry Regulatory Authority, Inc."
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8 Nov 2017, 10:20 pm
On November 1, 2017, the Financial Industry Regulatory Authority (“FINRA”) disclosed that registered representative Masood “Mike” Husain Azad (“Mike Azad”) has been barred from the securities industry following a FINRA enforcement proceeding. [read post]
20 Sep 2011, 2:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced it has fined Pointe Capital, Inc. [read post]
26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
26 Jun 2017, 1:05 pm
According to the Financial Industry Regulatory Authority Inc. [read post]
6 Aug 2013, 10:20 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, Ni Advisors, Inc. and Sui-Hock Goy submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
4 Nov 2016, 11:24 am
The Financial Industry Regulatory Authority Inc. [read post]
10 Jun 2023, 5:53 pm
The Financial Industry Regulatory Authority Inc. on Friday fined a five-person broker-dealer on Long Island $35,000 for a variety of shortcomings dating back to June 2020, when Regulation Best Interest became the standard of conduct for brokers registered with Finra. [read post]
7 Jun 2023, 8:00 pm
A unanimous three-person Financial Industry Regulatory Authority Inc. arbitration panel ordered UBS Financial Services Inc. to pay $252,627 to Dennis and Nadine Ainbinder, trustees of [...] [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
15 Jun 2015, 6:00 pm
An Arizona broker took advantage of a client who had Alzheimer’s according to a complaint filed by The Financial Industry Regulatory Authority Inc. [read post]
21 Nov 2011, 7:18 am
In fact, the Financial Industry Regulatory Authority Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
18 Sep 2013, 11:26 am
FINRA (Financial Industry Regulatory Authority, Inc.), the largest independent regulator for all securities firms doing business in the United States, has published guidance for broker-dealers in performing due diligence on EB-5 securities offerings or "private placements." [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
6 Apr 2010, 12:56 pm
In its first enforcement action involving a broker-dealer stock borrow program, the Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $650,000 for disclosure and supervisory violations relating to the operation of its Direct... [read post]
31 Oct 2023, 10:00 pm
The Financial Industry Regulatory Authority, Inc. [read post]
23 Aug 2010, 12:10 pm
On August 13, 2010, the SEC sent to the Federal Register for publication Release No. 34-62718 - a Notice that the Financial Industry Regulatory Authority, Inc. [read post]
11 Jun 2023, 1:38 pm
The Financial Industry Regulatory Authority Inc. started an inquiry in November into whether broker and financial advisor James Iannazzo broke industry rules when he allegedly “structured cash transactions in his personal bank and brokerage accounts to avoid federal reporting requirements,” according to his BrokerCheck report. [read post]
