Search for: "Financial Industry Regulatory Authority"
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23 Jan 2019, 2:22 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Robert Jamison (Jamison), formerly associated with PNC Investments, in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
17 Jan 2013, 5:50 am
Barred Stockbroker Barred Again For Wire Transfers From Elderly Client Talk about a spoiler alert — consider this ominous introductory statement in a Financial Industry Regulatory Authority (“FINRA”) disciplinary decision: This is a serious case of a broker in severe financial difficulty who engaged in a scheme to convert customer funds in order to pay his personal expenses and to conceal this misconduct from his firm. [read post]
10 Feb 2011, 9:22 am
FINRA (the Financial Industry Regulatory Authority) recently discussed its investor protection priorities at a conference held for independent financial services firms. [read post]
26 Aug 2021, 8:10 am
$400K UBS YES FINRA Arbitration Awarded to Investors in Baltimore, Maryland In one of the first in-person arbitration in the last 18 months, a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $405K in their UBS Yield Enhancement Strategy claim against UBS Financial (UBS). [read post]
25 Aug 2020, 12:29 pm
Morgan Stanley Settlement Includes FINRA Fine and Investor Restitution According to the Financial Industry Regulatory Authority (FINRA), Morgan Stanley Wealth Management has consented to pay a $175K fine and more than $774K in restitution for allegedly failing to supervise its former broker Kevin Gunnip. [read post]
11 Aug 2016, 12:00 am
The SEC and Financial Industry Regulatory Authority (FINRA) announced an assessment of a $5,000,000 fine against Merrill Lynch for misleading information relating to its strategic return notes. [read post]
5 Sep 2023, 2:43 pm
Financial Industry Regulatory Authority: Plaintiff Susan Seltzer participated in an arbitration proceeding before the Financial Industry Regulatory Authority (FINRA). [read post]
2 Feb 2021, 1:00 am
FINRA Bars Former Charlotte, North Carolina Financial Advisor The Financial Industry Regulatory Authority (FINRA) arbitration has permanently barred Gary Wayne Hammond, an ex-North Carolina broker, following allegations that he took part in more than $1.6M in private securities transactions without having given written notice to his then-firm. [read post]
30 Oct 2020, 11:19 am
Former Customers of Boca Raton, Florida Financial Advisor Request $700K in Damages Two investors have filed separate Financial Industry Regulatory Authority (FINRA) arbitration claims against Noble Capital Markets registered representative, Joseph Menachem Hain, also known as Joey Hain. [read post]
21 Mar 2022, 9:20 am
Ex-IFS Securities Broker Recommended Promissory Note to Elderly Investors The Financial Industry Regulatory Authority (FINRA) has barred ex-IFS Securities registered representative Steven Douglas Schisler beginning January 31, 2022. [read post]
23 May 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). [read post]
4 Jan 2018, 9:46 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Kenneth Savino (Savino). [read post]
24 Dec 2019, 5:13 am
Lek Securities Accused of Enabling Manipulative Trading The Financial Industry Regulatory Authority (FINRA) and most major US securities exchanges have permanently barred broker Samuel Lek, who is also the former CEO of Lek Securities. [read post]
10 Jan 2016, 7:21 am
Over the past several years, the Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization responsible for regulating every brokerage firm and broker doing business with the U.S. public, brought between 1,300 and 1,600 disciplinary actions each year. [read post]
13 Sep 2011, 2:26 pm
The high-pressured telephone cold call and Internet-based sale of penny stocks to unsuspecting and inexperienced brokers have been the target of numerous recent regulatory investigations and prosecutions brought by the Financial Industry Regulatory Authority (FINRA) and the Securities & Exchange Commission. [read post]
13 Sep 2011, 2:26 pm
The high-pressured telephone cold call and Internet-based sale of penny stocks to unsuspecting and inexperienced brokers have been the target of numerous recent regulatory investigations and prosecutions brought by the Financial Industry Regulatory Authority (FINRA) and the Securities & Exchange Commission. [read post]
26 Jan 2010, 10:15 am
The Financial Industry Regulatory Authority -- known by most as FINRA -- issued an advisory yesterday telling securities firms and brokers that they are required to supervise and retain records of their employees' blogging and social media use. [read post]
15 May 2018, 6:58 am
Recently, United Kingdom-based Laidlaw & Co. was sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
25 Apr 2017, 2:16 pm
The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker David James Mura (Mura). [read post]
18 Oct 2013, 3:17 am
Consider yet another case in which elderly customers fall prey to unscrupulous practices.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, James Arnold Busch submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
