Search for: "Financial Industry Regulatory Authority"
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15 May 2015, 7:08 am
Earlier this month, the Financial Industry Regulatory Authority ("FINRA") announced that it had fined LPL Financial ("LPL") $10 million for lack of supervision in several areas of its operations, including sales of ETFs, variable annuities, REITs, and other complex products. [read post]
12 Apr 2011, 2:28 pm
The Financial Industry Regulatory Authority is fining UBS Financial Services, Inc. $2.5 million and ordering it to pay $8.25 million in restitution for allegedly misleading investors about the "principal protection" feature of 100% Principal-Protection Notes. [read post]
5 Oct 2009, 5:04 pm
The Financial Industry Regulatory Authority (FINRA) has agreed to extend its year-old pilot program established to give investors the option to request an arbitration panel composed entirely of arbitrators that are not affiliated with the securities industry. [read post]
17 May 2017, 6:41 am
Our securities fraud attorneys are investigating customer complaints and a recent regulatory action filed with The Financial Industry Regulatory Authority (FINRA) against Paul Alexander (Alexander) formerly associated with Raymond James & Associates, Inc. [read post]
15 Apr 2015, 7:06 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Raymond Schmidt (Schmidt) due to Schmidt’s refusal to respond to requests made by the agency. [read post]
31 Oct 2016, 7:46 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by LPL Financial LLC (LPL) involving broker Kevin Kuhlow (Kuhlow) out of the firm’s Los Gatos, California office. [read post]
2 Jul 2013, 3:01 pm
On June 25, 2013, the Financial Industry Regulatory Authority (FINRA) agreed to a Letter of Acceptance, Waiver and Consent in which Dennis F. [read post]
2 Jun 2012, 12:00 pm
It is being reported that Brendan Coughlin and Henry Harrison, two co-founders of Provident Royalties LLC, have been fined $50,000 each and suspended from the securities industry for two years, according to a settlement with the Financial Industry Regulatory Authority Inc. [read post]
3 Mar 2014, 3:24 pm
The Financial Industry Regulatory Authority (FINRA) is the securities industry watchdog and regulator of US broker dealers. [read post]
14 Apr 2015, 6:46 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Tedeschi (Tedeschi) has been the subject of at least 6 customer complaints, one judgment and lien over the course of his career. [read post]
31 May 2017, 10:28 am
The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker James Paul Kolf (Kolf). [read post]
23 Apr 2016, 10:51 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Roman Reed (Reed). [read post]
3 Feb 2011, 1:47 pm
While generally supporting the increased transparency embodied in the European Commission’s proposed reform of the Markets in Financial Instruments Directive (MiFID), the US hedge fund industry is concerned that proprietary or confidential information of individual investors may be disclosed to the public. [read post]
27 Mar 2015, 7:07 am
As we reported, The Financial Industry Regulatory Authority (FINRA) sanctioned Popular Securities, Inc. [read post]
21 Jun 2017, 8:50 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Margaret Lech-Loubet (Lech-Loubet). [read post]
21 Jun 2023, 9:48 pm
The month of May saw a broad range of activities within the financial services industry. [read post]
11 Jun 2014, 8:45 am
The Financial Industry Regulatory Authority (FINRA) recently fined brokerage firm Commonwealth Financial Network (CFN) $250,000 on allegations that from December 7, 2009 to January 28, 2012, CFN’s supervisory system: (a) failed to subject about 12.6 million outgoing e-mails to daily e-mail surveillance protocol, constituting 90% of the e-mails that the firm’s registered representatives sent through doing business as (DBA) e-mail accounts; and… [read post]
20 Jan 2014, 11:20 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Bedminster Financial Group, Ltd. [read post]
20 Jun 2017, 8:50 am
Broker John Oldham (Oldham) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action. [read post]
21 May 2019, 8:48 am
A former America Northcoast Securities broker is barred by the Financial Industry Regulatory Authority (FINRA) after he traded in nontraditional exchange-traded funds (ETFs) in the accounts of firm clients, even when the investments were not suitable for them. [read post]
