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17 Apr 2014, 11:22 am
Today's BrokeAndBroker Blog examines what happens when a stockbroker borrows from a customer but doesn't follow the rules.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 a... [read post]
29 May 2014, 4:08 am
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, James Paul Kimmel Sr. submitted a Letter of Acceptan... [read post]
15 Apr 2018, 6:58 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA... [read post]
10 May 2018, 4:26 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2017, Claimant Claimant Rebecc... [read post]
4 Jun 2014, 5:32 am
Today's BrokeAndBroker Blog puts Wall Street's dirty laundry on display for all to see.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, Gregg M. [read post]
12 Apr 2014, 3:48 am
As with all mixtures of family and money, this one doesn't end particularly well.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, John Lamar Gibson submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
28 Nov 2016, 2:51 am
It's much the same for Wall Street's stockbrokers, as demonstrated in a recent Financial Industry Regulatory Authority settlement where a broker had endeavored out onto the stormy day-trading seas and beached his career on a regulatory bar. [read post]
15 Nov 2011, 6:07 pm
On November 15, 2011 the Financial Industry Regulatory Authority (FINRA) entered into a settlement with J.P. [read post]
15 Oct 2014, 9:30 pm
The DOT contends that Amtrak’s involvement was merely advising on new regulations and that the agency did not delegate regulatory authority. [read post]
10 Jul 2017, 9:42 am
The Financial Industry Regulatory Authority (“FINRA”) issued a regulatory notice that addresses the use of digital communications and social media by FINRA member firms. [read post]
6 Apr 2020, 7:44 am
According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Financial Advisors Corporation (Lincoln Financial) out of the firm’s Melville, New York office location. [read post]
22 Mar 2018, 10:21 am
Effective March 13, 2018, the Financial Industry Regulatory Authority (“FINRA”) imposed an industry bar against former financial advisor Gabriel “Gabe” Block (CRD# 2103543), of Rumson, New Jersey. [read post]
9 Apr 2021, 12:54 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Hebert Frey from the securities industry for sixteen months. [read post]
27 Apr 2015, 6:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Karl Romero (Romero) has been the subject of at least 9 customer complaints over the course of his career. [read post]
22 Nov 2015, 1:35 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Kenneth Bolton (Bolton) has been the subject of at least 10 customer complaints, and 1 regulatory action, and one employment separation for cause. [read post]
20 Jan 2017, 7:38 am
Sterling, LLC, a Garden City, New York, broker-dealer, from November 2011 to October 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Jan 2017, 7:38 am
Sterling, LLC, a Garden City, New York, broker-dealer, from November 2011 to October 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Sep 2013, 12:28 pm
Diego Fernando Hernandez (Hernandez) was recently barred from the financial industry by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he failed to disclose outside business activities, a practice known in the industry as “selling away” and misused customer funds. [read post]
16 Sep 2009, 11:14 am
The costs to consumers, the financial industry, and the economy would have been far less if states had not been hindered in protecting consumers. [read post]
17 May 2024, 11:26 am
The Financial Industry Regulatory Authority (FINRA) recently barred a financial advisor from Alexandria, Virginia who had been registered with Wells Fargo Clearing Services LLC. [read post]
