Search for: "Financial Industry Regulatory Authority"
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1 Oct 2023, 8:08 am
On July 12, 2023, an individual named Luke Michael Johnson was accused in a FINRA (Financial Industry Regulatory Authority) complaint of making unsuitable recommendations to customers. [read post]
10 Dec 2014, 3:03 pm
According to Financial Planning, the Financial Industry Regulatory Authority (FINRA) recently suspended former Ameriprise advisor, Jon Dabareiner, following a month long investigation for allegedly copying clients’ signature. [read post]
16 Dec 2013, 4:53 am
Gevorg Daldumyan was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he failed to appear for testimony concerning condominium cooperative investments. [read post]
6 May 2014, 3:02 pm
According to Investment News, on May 1, 2014, an arbitration panel for the Financial Industry Regulatory Authority (FINRA) awarded two retired school teachers $1.17 million for a claim involving tenant-in-common (TIC) investments . [read post]
6 Dec 2018, 1:39 pm
Most retail investors have never heard of FINRA, or the Financial Industry Regulatory Authority, until they’ve lost a lot of money due to broker misconduct or investment fraud. [read post]
2 Apr 2020, 7:48 pm
ASIC releases new regulatory regime for foreign financial services providers On 10 March 2020, ASIC published its media release which announced the new regulatory framework for foreign financial services providers (FFSPs) providing certain financial services to wholesale clients in Australia. [read post]
20 Dec 2021, 9:58 am
Supervisory Failures Allegedly Resulted in Unsuitable Trades and Rollovers Wells Fargo Clearing Services and Wells Fargo Advisors have arrived at a settlement with the Financial Industry Regulatory Authority (FINRA). [read post]
6 Jul 2021, 7:48 am
Over 3,000 Customers May Have Been Charged More Than $8.4M in Excessive Sales Fees The Financial Industry Regulatory Authority (FINRA) announced that Merrill Lynch, Pierce, Fenner & Smith will pay approximately $8.4M in restitution and an over $3.2M fine to settle charges alleging supervisory failures involving unit investment trust (UIT) rollovers. [read post]
16 Feb 2021, 11:05 am
Settlement in FINRA Case Involves Repaying Nearly $44K to Affected Customers The Financial Industry Regulatory Authority (FINRA) has ordered Triad Advisors to pay a $150K fine for not adequately supervising both short-term trades involving Class A shares of mutual funds and variable annuity exchanges. [read post]
17 Aug 2020, 1:17 pm
FINRA Bars Ex-Registered Rep, Who Wouldn’t Cooperate In Investigation Christopher Duke Bennett, an ex-Hilliard Lyons broker, is barred by the Financial Industry Regulatory Authority (FINRA). [read post]
19 Jan 2021, 6:59 am
Worden Capital Management’s Settlement Includes $1.2M in Customer Restitution In December 2020, Worden Capital Management, a New York-based broker-dealer, arrived at an over $1.5M settlement with the Financial Industry Regulatory Authority (FINRA) over excessive trades made by the firm’s registered representatives. [read post]
22 Oct 2012, 10:56 am
The Financial Industry Regulatory Authority is ordering David Lerner Associates, Inc. to pay $14M for allegedly engaging in unfair sales practices involving its Apple REIT Ten and charging clients excessive markups. $12 million of this will be restitution to the investors that bought shares in the $2 billion non-traded real estate investment trust, as well as to clients that were overcharged. $2.3 million is FINRA’s fine against the brokerage firm for… [read post]
28 Sep 2010, 11:44 am
Today, the Financial Industry Regulatory Authority (FINRA) announced plans that should help level the playing field for investors pursuing securities arbitration claims against their stockbroker or financial advisor. [read post]
21 Sep 2022, 3:55 am
However, the Abu Dhabi Global Market’s (ADGM) Financial Services Regulatory Authority (FSRA) has taken a more innovative and pragmatic approach by being one of the first international regulators to publish regulations on virtual assets. [read post]
12 Sep 2018, 7:44 am
The Financial Industry Regulatory Authority (FINRA) has barred three former brokers who failed to take part in the self-regulatory authority’s probe into allegations of wrongdoing. [read post]
13 Aug 2018, 8:51 am
According to a new study by securities industry watchdog, FINRA, the Financial Industry Regulatory Authority, the number of so-called "hybrid" brokers has exploded in recent years, now comprising 45% of all brokers. [read post]
16 May 2013, 3:21 am
Except, you know, rules are rules and oral consent just doesn't trump prior written authorization -- and none of those measures can get you over the hurdle when the use of blank forms itself is prohibited, period.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… [read post]
7 Jul 2016, 6:00 am
I recently posted "Support ROBERT MUH For FINRA Small Firm Governor" (BrokeAndBroker.com Blog, July 5, 2016), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") small firm community; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulatory authority; and expressed my… [read post]
8 Jun 2017, 1:39 pm
After the couple put their flawed plan into action, FINRA responded with a fine and suspension.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FIN... [read post]
5 Jul 2016, 5:58 am
I recently posted "Support ROBERT MUH For FINRA Small Firm Governor" (BrokeAndBroker.com Blog, July 5, 2016), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") small firm community; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulatory authority; and expressed my… [read post]
