Search for: "Financial Industry Regulatory Authority"
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13 Sep 2021, 1:15 pm
FINRA Sanctions Deutsche Bank Securities for Supervisory Issues Related to Tender offers According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Deutsche Bank Securities (CRD #2525) $800,000, of which $156,250 is payable to FINRA for supervisory issues. [read post]
13 Sep 2021, 12:39 pm
FINRA Reportedly Bars Jeff Michero after Allegations of Stealing Trust Funds According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor William Jeffrey Michero (Jeff Michero) (CRD # 461764) from the securities industry. [read post]
13 Sep 2021, 10:35 am
Work with the staff to investigate complaints against CISA programs and activities for non-compliance with constitutional, statutory, regulatory, policy, and other requirements related to civil rights and civil liberties. [read post]
13 Sep 2021, 6:35 am
According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester, Massachusetts office location. [read post]
13 Sep 2021, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Lackwood’s customer complaint alleges that Lackwood recommended unsuitable investments in various investments including allegations involving risky and speculative securities, among other allegations of misconduct relating to the handling of their accounts. [read post]
12 Sep 2021, 7:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Howard’s customer complaints alleges that Howard recommended unsuitable investments in various investments including allegations involving unauthorized trading among other allegations of misconduct relating to the handling of their accounts. [read post]
11 Sep 2021, 10:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Jones’ customer complaints alleges that Jones recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts. [read post]
11 Sep 2021, 10:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Santiago’s customer complaints alleges that Santiago recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts. [read post]
10 Sep 2021, 1:27 pm
Not there there's really anything amounting to a fair shuffle of the cards or a fair deal on the Street, but, hey, if it makes you feel better, we can all wink and nod knowingly.Case in PointFor 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, Tyler J. [read post]
10 Sep 2021, 1:03 pm
Customer Disputes Allege Improper Sales Of Diamonds According to Petersen’s BrokerCheck Report, published by the Financial Industry Regulatory Authority, eight investors have filed FINRA arbitration claims involving allegations of “fraud and breach of duty related to the purchase of diamonds Petersen sold . . . [read post]
10 Sep 2021, 5:17 am
According to a publicly filed Acceptance, Waiver, and Consent (AWC) filed with the Financial Industry Regulatory Authority (FINRA), Wells accepted the lifetime ban in lieu of appearing for or providing information to FINRA pursuant to FINRA Rule 8210. [read post]
9 Sep 2021, 6:40 pm
More Information This article is republished by permission of the author, Cynthia Marcotte Stamer. [read post]
9 Sep 2021, 11:24 am
FINRA Sanctions Santander Investment Securities for Inaccurate Disclosures According to the Financial Industry Regulatory Authority (FINRA) on September 7, 2021, the regulator has censured and fined Santander Investment Securities (CRD #37216) $175,000 for inaccurate and omitted disclosures. [read post]
9 Sep 2021, 10:25 am
FINRA reportedly Bars Adam Belardino after Allegations of Excessive Trading, Misrepresentation According to public records on September 7, 2021, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Adam Belardino (CRD #5221927) for allegedly failing to provide on-the-record testimony on two occasions. [read post]
8 Sep 2021, 9:14 am
On September 7, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Santander Investment Securities Inc. [read post]
8 Sep 2021, 5:46 am
The training must occur within one year of the employee’s hire date and must include information on how to identify actual or attempted financial exploitation of eligible adults and how to report such exploitation to the regulatory authorities. [read post]
7 Sep 2021, 1:12 pm
Work with the staff to investigate complaints against CISA programs and activities for non-compliance with constitutional, statutory, regulatory, policy, and other requirements related to civil rights and civil liberties. [read post]
7 Sep 2021, 3:37 am
Financial Industry Regulatory Authority, Defendant (Memorandum Decision and Order Granting Motion to Dismiss, United States District Court for the District of Utah ("DUT") / September 7, 2021)SEC Severs Two Appeals from Consolidated Arbitration Applications... [read post]
3 Sep 2021, 10:36 am
FINRA’s Red Flags for Excessive Trading The Financial Industry Regulatory Authority (FINRA) has published an Investor Insight that provides some practical tips for investors to protect themselves against excessive trading. [read post]
3 Sep 2021, 8:03 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Joseph Lianzo from the securities industry for eight months. [read post]
