Search for: "Financial Industry Regulatory Authority, Inc."
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1 Sep 2010, 7:01 am
The Financial Industry Regulatory Authority panel awarded the damages to Rex and Sherese Glendenning, a Texas couple that originally sought $1.4 million in compensatory damages. [read post]
28 Aug 2018, 8:32 am
The Financial Industry Regulatory Authority Inc. [read post]
31 May 2021, 7:16 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Jeffrey Warren from the securities industry. [read post]
6 Sep 2019, 7:08 am
In the Matter of Kalos Capital, Inc. and Darren Michael Kubiak, Respondents (FINRA AWC 2016048196801) https://www.finra.org/sites/default/files/fda_documents/2016048196801%20Kalos%20Capital%2C%20Inc.%20CRD%2044337%20Darren%20Michael%20Kubiak%20CRD%201239086%20%20AWC%20va.pdfFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying… [read post]
30 Oct 2017, 10:36 am
Case In PointSome eight years ago, the Financial Industry Regulatory Authority ("FINRA") filed FINRA Department of Enforcement, Complainant, v. [read post]
16 Jun 2018, 1:49 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Salerno has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks including master limited partnerships (MLPs). [read post]
3 Aug 2018, 6:49 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Newbridge Securities Corporation (Newbridge Securities) broker Edward Klug (Klug) left the securities industry in May 2018 after disclosing several large tax liens in the prior years. [read post]
25 Sep 2020, 12:49 pm
Here's a look behind eight years of alleged conspiracy (Bloomberg by Tom Schoenberg)Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests (SEC Filing)Financial Planner Sentenced… [read post]
2 Oct 2020, 9:44 am
Robert Barnard, Principal Securities Inc., Las Cruces, NM FINRA Reportedly Bars Robert Barnard after Allegations of Selling Away and Borrowing Client Funds According to the Financial Industry Regulatory Authority (FINRA) on September 30, the regulator has barred financial advisor Robert Barnard after he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations referenced in Form… [read post]
4 Feb 2017, 8:27 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael Siegel (Siegel) formerly associated with National Securities Corporation – d/b/a HudsonPoint Capital – alleging Siegel engaged in a number of securities law violations including that the broker made unsuitable investments, unauthorized trading, and churning (excessive trading) among other claims. [read post]
17 Aug 2022, 6:56 am
FINRA Sanctions Axiom for Allegedly Ignoring Red Flags with Private Placement Offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
17 Aug 2022, 7:03 am
FINRA sanctions Axiom for allegedly ignoring red flags with private placement offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
28 Aug 2022, 9:45 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Serizawa’s customer complaints allege that Serizawa engaged in excessive trading, made investments that were not in the client’s best interests, and inappropriately sold private investment funds. [read post]
3 Oct 2016, 4:07 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitratio... [read post]
27 Dec 2017, 7:36 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against broker James Cox (Cox). [read post]
24 Oct 2020, 8:00 am
Timothy Brent Hetrick of Wilder, Idaho submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly refusing to appear for on-the-record testimony requested by FINRA in violation of FINRA Rules 8210 and 2010. [read post]
8 Jun 2021, 11:57 am
The Financial Industry Regulatory Authority “(FINRA”) has suspended Cadaret, Grant & Co., Inc. broker Matthew Zanowiak from the securities industry for ten business days for exercising discretion without written authorization in approximately 15 customer accounts. [read post]
16 Feb 2016, 12:06 pm
On February 4, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) awarded Herbert M. [read post]
8 Feb 2021, 11:25 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Charles Bonilla from the securities industry for five months, fined him $5,000, and ordered him to disgorge $22,417 in commissions. [read post]
14 Jan 2019, 10:22 am
Broker Investigation – Mark Lamendola – World Capital Brokerage According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Mark Lamendola from the securities industry. [read post]
