Search for: "Financial Industry Regulatory Authority"
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30 Jan 2018, 12:39 pm
In 2017, around this time of year, securities industry regulatory body, FINRA (the Financial Industry Regulatory Authority) introduced new rules and regulations aimed at mitigating the financial exploitation of elderly Americans. [read post]
5 Jun 2018, 11:48 am
Lyons – Raymond James & Associates – Shreveport, LA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Lyons from the securities industry. [read post]
17 Dec 2020, 11:55 am
FINRA Reportedly Bars Christopher Fernan after Alleged Dismissal from Salomon Whitney According to a Letter of Acceptance Waiver and Consent on October 19, 2020, The Financial Industry Regulatory Authority (FINRA) has reportedly barred former advisor Christopher Fernan (CRD#: 5896584, Plainview, NY) from association with any FINRA member in all capacities after he refused to appear for on-the-record testimony. [read post]
6 May 2015, 9:36 am
LPL Financial agreed to pay more than $11 million to settle charges in connection with a Financial Industry Regulatory Authority (FINRA) investigation into the firm, as recently reported in the Wall Street Journal. [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]
20 Aug 2021, 1:48 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbrokers Alfonse Stazzone and Maxim Beliakov from the securities industry for four months. [read post]
25 Apr 2008, 1:44 pm
FINRA (the Financial Industry Regulatory Authority) has published, "Keeping Your Account Secure: Tips for Protecting Your Financial Information. [read post]
31 Jan 2022, 8:44 am
FINRA Bars Financial Advisor Dennis Ayre after Allegations of Unsuitable Investments According to the Financial Industry Regulatory Authority on January 28, 2022 the regulator has reportedly barred financial advisor Dennis Phillip Ayre (CRD#: 5365176) from the securities industry.Ayre reportedly refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into the suitability of certain… [read post]
12 Sep 2019, 3:33 pm
Greene, the former head of the Financial Industry Regulatory Authority in Los Angeles, replaces Brian A. [read post]
30 Mar 2020, 2:44 pm
How will regulatory agencies like the CFPB, FTC, and State Attorneys General react to the consumer financial impacts of COVD-19? [read post]
14 Jul 2010, 2:04 pm
What will the impact be for the financial services industry? [read post]
2 Dec 2019, 7:43 am
Eaton was recently barred by the Financial Industry Regulatory Authority (FINRA) in the wake of allegations that he fraudulently took money out of his clients’ accounts. [read post]
18 Aug 2021, 9:08 pm
Other countries have applied the sandbox concept to their financial industries. [read post]
21 Apr 2021, 2:43 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Elias Hakimian from the securities industry for three months. [read post]
19 Sep 2018, 9:44 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), James Wright allegedly used unapproved personal emails and text messages to communicate with an unregistered administrative assistant regarding firm customers. [read post]
5 Sep 2018, 11:32 am
– Stephen Hurtuk – Boardman, Ohio According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Ohio financial advisor Stephen Hurtuk from the securities industry for failure to provide testimony in an investigation. [read post]
30 Jun 2021, 6:16 pm
The Financial Industry Regulatory Authority (FINRA) on Wednesday levied $57 million in fines against Robinhood Financial LLC. [read post]
28 Dec 2020, 10:48 am
FINRA Reportedly Bars Brian Radoo after Alleged Dismissal for Outside Business Activities According to a Letter of Acceptance Waiver and Consent (AWC) signed on December 18, 2020, The Financial Industry Regulatory Authority (FINRA) has reportedly barred advisor Brian Radoo (CRD#: 2558458, North Woodmere, NY) from association with any FINRA member in all capacities after he refused to appear for on-the-record testimony. [read post]
13 Sep 2007, 3:35 pm
Schapiro, the Chief Executive Officer of the Financial Industry Regulatory Authority (FINRA), the regulatory body formed by the merger of the National Association of Securities Dealers and the regulatory arm of the New York Stock Exchange. [read post]
1 Aug 2018, 7:08 am
Former LPL broker Sanders Spangler was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA). [read post]
