Search for: "Financial Industry Regulatory Authority"
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21 Jul 2015, 6:58 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Nigel James (James) has been the subject of at least five customer complaints and one financial matter. [read post]
3 Dec 2013, 6:50 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Stephen Michael Brown (Brown) for failing to comply with FINRA’s requests for information concerning allegations that Brown engaged in the unlawful sale of securities. [read post]
23 May 2016, 4:45 am
Now that Pennsylvania has become the latest state to authorize medical marijuana, many people will look to invest in this industry. [read post]
2 Apr 2013, 6:21 am
Nearly one hundred and fifty years before the creation of federal and state securities authorities, the financial industry established its own self-regulatory organizations. [read post]
13 Oct 2016, 11:45 am
The Financial Industry Regulatory Authority (FINRA) is on its way to posting a record year in terms of the amount of fines that it has assessed to member firms. [read post]
20 May 2020, 1:06 pm
Financial Advisor Lenny Kinsman, Wells Fargo Advisors in Staten Island, NY Leonard Kinsman Reportedly Barred after Alleged Failure to Provide Testimony in FINRA’s investigation According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator has reportedly barred financial advisor Leonard Kinsman after he apparently failed to provide information in its investigation about “the events resulting… [read post]
16 Jan 2017, 6:30 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) when the regulator barred broker Tye Williams (Williams). [read post]
9 Jun 2015, 6:46 am
According the BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) the agency suspended former Global Arena Capital Corp (Global Arena) broker Niaz Elmazi a/k/a Nick Morrisey (Morrisey) concerning allegations that Morrisey failed to respond to FINRA’s requests for information. [read post]
7 Mar 2014, 7:40 am
The Financial Industry Regulatory Authority (FINRA) fined SAL Financial Services, Inc. dba Sterne Agee Financial Services, Inc. [read post]
7 Feb 2008, 8:19 pm
(BOSC) says it will pay $225,000 to settle Financial Industry Regulatory Authority (FINRA) charges that it made "unsuitable" sales of deferred variable annuities to 23 clientsâ€â [read post]
7 Jun 2021, 8:33 am
FINRA Bars Richard Demetriou of Titan Securities for Unapproved Securities Sales According to a Financial Industry Regulatory Authority (FINRA) Decision on June 2, 2021, the regulator found that Richard Demetriou, a registered representative at Titan Securities in Addison, Texas, allegedly made material, false and misleading statements to customers, engaged in undisclosed, unapproved outside business activities, violated advertising and communications with… [read post]
8 Feb 2016, 10:08 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Stanley Keyes (Keyes). [read post]
30 Oct 2015, 7:42 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Edward Segur (Segur) has been the subject of at least 2 customer complaints, 3 judgements or liens, 1 criminal matter, and 2 regulatory actions. [read post]
17 Nov 2011, 1:14 pm
According to a recent investmentnews.com article the Financial Industry Regulatory Authority (FINRA) “is warning firms about the use of designations implying special expertise in working with older investors. [read post]
13 Jan 2021, 9:25 am
The Financial Industry Regulatory Authority’s findings stated that Michael Tavel purportedly participated in private securities transactions away from his member firm without providing a written disclosure to the firm and he allegedly falsely attested to the firm that he had not solicited any unapproved private placements. [read post]
18 Mar 2010, 10:17 am
Susan Merrill, the head of enforcement at the Financial Industry Regulatory Authority (FINRA) is departing after nearly three years in which disciplinary actions and fines against the brokerage industry have declined, reported Sue Craig of the Wall Street Journal in her March 18 article, “Finra’s Susan Merrill to Exit as Enforcement Chief. [read post]
26 Apr 2012, 8:25 pm
FINRA recently announced that Joel Blumenschein, president of Freedom Investors Corp. and a board member of the Financial Industry Regulatory Authority Inc., has been suspended as a principal of his firm for three months and fined $30,000 in a failure-to-supervise case. [read post]
16 Nov 2011, 6:11 am
JPMorgan Chase & Co. has been ordered by the Financial Industry Regulatory Authority (FINRA) to reimburse customers more than $1.9 million for losses that occurred from unsuitable investment recommendations. [read post]
5 Nov 2023, 6:28 pm
In a recent disciplinary action by the Financial Industry Regulatory Authority (FINRA), Richard S. [read post]
15 Jul 2010, 1:03 pm
Meanwhile, hundreds of additional individual arbitration claims await decisions from the Financial Industry Regulatory Authority (FINRA). [read post]
