Search for: "Financial Industry Regulatory Authority"
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30 Nov 2012, 8:24 am
Nelson is a senior associate in the Financial Services Regulatory Group at Reed Smith LLP, resident in the Princeton and New York offices. [read post]
27 Oct 2015, 6:24 am
The Financial Industry Regulatory Authority (FINRA) barred broker Robert Potter (Potter) (FINRA No. 2014041579901) alleging on August 10, 2015, the agency investigated allegations that Potter commingled customer funds with his personal funds and sent Potter a letter requesting that he provide documents and information by August 17, 2015. [read post]
2 May 2011, 9:09 pm
Later this year, the Financial Industry Regulatory Authority ("FINRA") will put in effect new rules of conduct that narrow the gap between brokers' duties and investors' expectations of their brokers' responsibility. [read post]
20 Dec 2020, 9:03 pm
President Bill Clinton’s Executive Order 12,866 attempted a course correction, but, over time, the system has largely devolved into a backdoor channel for industry lobbyists seeking to weaken regulations for financial gain. [read post]
17 Sep 2015, 7:27 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Batchen (Batchen) has been the subject of at least five customer complaints, one judgement/lien, and one employment separation for cause over the course of his career. [read post]
27 Jan 2017, 12:53 pm
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Sorensen (Sorensen) currently associated with Allegis Investment Services, LLC (Allegis Investment), d/b/a Soresnsen Financial, Inc., alleging unsuitable investments, unauthorized trading, and misrepresentations among other claims. [read post]
13 Oct 2017, 5:42 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Doyle has been accused by customers of unsuitable investment advice and unauthorized trading among other claims. [read post]
4 Mar 2015, 6:36 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker David Blasik (Blasik) concerning allegations that Blasik engage in outside business activities. [read post]
7 Feb 2018, 6:27 am
Ricardo Rodriguez-Stern Barred for failure to provide information According to the Financial Industry Regulatory Authority (FINRA), the regulator has allegedly barred Ricardo Rodriguez-Stern from working in the financial industry. [read post]
21 Mar 2014, 9:49 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred Hernandez over allegations that he wired money from a clients fee-based brokerage account to a bank without the clients permission. [read post]
30 Aug 2010, 4:55 am
Last week, securities broker-dealers elected three dissident representatives to the Financial Industry Regulatory Authority's governing board. [read post]
22 Sep 2021, 11:50 am
FINRA Bars Former AXA Advisor, Jenna Kang after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Jenna Kang (Jihye Kang) (CRD#: 6334679) from the securities industry after she allegedly refused to produce the information and documents requested by FINRA in connection with its investigation into whether Kang had… [read post]
27 Aug 2009, 4:28 pm
The widow of a 77-year-old man has filed an arbitration claim with the Financial Industry Regulatory Authority (FINRA) against Ameriprise Financial Services on allegations an Ameriprise broker failed to appropriately advise her elderly husband about a variable annuity purchase and further botched the beneficiary designation on the investment. [read post]
23 Oct 2009, 10:29 am
Securities America, a subsidiary of Ameriprise Financial, is becoming the target of more investor claims filed with the Financial Industry Regulatory Authority (FINRA) over allegations it falsely misrepresented private placement offerings associated with Medical Capital Holdings - the same company that the Securities and Exchange Commission (SEC) has charged in a $2 billion Ponzi scheme. [read post]
13 Nov 2007, 8:15 am
Oppenheimer & Co. says it will pay a $1 million fine to settle charges by the Financial Industry Regulatory Authority that it turned in false information regarding mutual fund breakpoints. [read post]
3 Oct 2021, 9:03 pm
Second, regulatory failures can often harm marginalized groups the most, which the financial crash showed yet again. [read post]
1 Oct 2011, 4:08 pm
The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. [read post]
12 Apr 2011, 5:36 pm
This week, the largest bank in Spain, Banco Santadar, is reported to have paid $7 million directly to investors and $2 million to the Financial Industry Regulatory Authority ("FINRA") to settle claims that it improper sold high-risk reverse convertibles to elderly, retired investors. [read post]
1 Sep 2020, 3:55 am
According to the claim filed with the Financial Industry Regulatory Authority (“FINRA”), the YES program was unsuitably recommended to him as it is a highly risky investment program. [read post]
25 Mar 2024, 8:44 pm
Our Securities Arbitration Attorneys Represent Investors In Suing Their Brokers If you are an investor who is pursuing damages from your financial advisor, then you will likely have to file your claim in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
