Search for: "Financial Industry Regulatory Authority"
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24 May 2022, 11:29 am
Ex-NPB Financial Group Advisor Has Six Disputes On BrokerCheck Record If you suffered losses while working with former NPB Financial Group registered representative Neal Edwin Nakagiri, you might have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to pursue damages from the firm. [read post]
11 Apr 2022, 3:00 am
Global VIP and Global Advantage Select Were Unsuitable For Claimants Two older investors from Venezuela have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Ocean Financial Services over losses they sustained in Northstar Financial Services (Bermuda). [read post]
15 Oct 2018, 2:18 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), in July 2018 Siegel was subject to a regulatory complaint by the Massachusetts Securities Division alleging that Siegel published false information on his website and failed to update this information for at least seven years. [read post]
1 Sep 2016, 6:45 am
It's about a 71-year-old financial principal of a broker-dealer and his settlement of regulatory charges with the Financial Industry Regulatory Authority. [read post]
4 Nov 2022, 1:03 pm
Wedbush Securities to pay $850,000 after Allegations of Misrepresentations, Supervisory Failures According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has reportedly censured and fined Wedbush Securities $850,000 for regulatory failures. [read post]
21 Dec 2017, 12:40 pm
On December 13, 2017, the Financial Industry Regulatory Authority (“FINRA”) disclosed that registered representative Brian Michael Travers has been barred from the securities industry. [read post]
4 May 2020, 6:39 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Davenport concern allegations over variable annuity sales practices. [read post]
16 Apr 2018, 7:34 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred New York Financial Advisor Steven Pagartanis from the securities industry for allegedly failing to appear for on-the-record testimony on April 10, 2018. [read post]
9 Jun 2023, 8:47 am
A December 27-inked ruling by a split panel of three Financial Industry Regulatory Authority arbitrators calls for Fidelity to revise the termination form it filed with regulators when, in [...] [read post]
28 Oct 2020, 11:06 am
Harlan Cardwell III (Tra Cardwell) Prospera Financial Services Financial in Vernon, Texas According to the The Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred ex-Prospera Financial Services advisor, Harlan Cardwell III in all capacities on May 3, 2019 after he failed to respond to FINRA’s December 14, 2018 request for information relating to his November 29, 2018 termination from his firm. [read post]
13 Feb 2017, 6:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). [read post]
13 Feb 2017, 6:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Robert Estevez (Estevez). [read post]
24 Jun 2019, 12:49 pm
After failing to cooperate in a probe into allegations of securities violations, George Merhoff, a former ex-Cetera Financial Group adviser, has been barred by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Aug 2021, 7:37 am
Glacier Point Advisors Managing Partner is Ordered to Pay Customers More Than $1.2M in Restitution Kevin Marshall McCallum, a former LPL Financial stockbroker and the Managing Partner of Glacier Point Advisors has been suspended by the Financial Industry Regulatory Authority (FINRA) for a year. [read post]
13 Apr 2023, 5:17 am
Matson was barred from the Securities Industry by FINRA, the Financial Industry Regulatory Authority, for refusing to cooperate with their regulatory investigation. [read post]
21 Sep 2021, 2:24 am
Raymond James Broker Made Unsuitable Recommendation That Led To Northstar Financial Bermuda Losses Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) will be filing yet another Financial Industry Regulatory Authority (FINRA) arbitration claim against a brokerage firm for unsuitably recommending Northstar Financial Services (Bermuda) products to a customer. [read post]
10 Jun 2010, 12:13 pm
Recently, Richard Ketchum, The Chairman and CEO of FINRA (the Financial Industry Regulatory Authority), discussed how FINRA seeks to protect investors from fraud and other wrongdoing. [read post]
4 Sep 2015, 4:47 am
The Financial Industry Regulatory Authority (FINRA) barred former LPL Financial LLC (LPL) broker Thomas Caniford (Caniford) after the broker failed to respond to a letter from the regulator requesting information. [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]
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]
