Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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10 Jun 2023, 5:53 pm
The Financial Industry Regulatory Authority Inc. on Friday fined a five-person broker-dealer on Long Island $35,000 for a variety of shortcomings dating back to June 2020, when Regulation Best Interest became the standard of conduct for brokers registered with Finra. [read post]
10 Jun 2023, 5:01 pm
The Financial Industry Regulatory Authority Inc. said Friday it had fined a small broker-dealer, Laidlaw & Co. [read post]
10 Jun 2023, 4:05 pm
The Financial Industry Regulatory Authority Inc. launched an exam sweep in September 2021 to probe how its member firms use TikTok, Twitter, Instagram, Facebook [...] [read post]
10 Jun 2023, 3:14 pm
The Financial Industry Regulatory Authority Inc. reported $45 million in fines in 2022 compared to $103 million in 2021, Eversheds Sutherland said [...] [read post]
10 Jun 2023, 1:23 pm
The Financial Industry Regulatory Authority Inc. filed the proposals with the Securities and Exchange Commission last year. [read post]
10 Jun 2023, 6:23 am
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor who borrowed more than $850,000 while registered with LPL Financial and later Raymond James Financial Services Inc. [read post]
9 Jun 2023, 8:07 pm
A three-person Financial Industry Regulatory Authority Inc. arbitration panel in Boca Raton, Florida found the firm and former [...] [read post]
9 Jun 2023, 12:54 pm
Jermaine Benjamin, Pruco Securities, Allegedly Misappropriated Funds On June 7, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor Jermaine Benjamin (CRD #6152653) from the securities industry, according to a Letter of Acceptance, Waiver and Consent. [read post]
9 Jun 2023, 12:05 pm
The Financial Industry Regulatory Authority Inc. on Thursday fined TD Ameritrade Clearing Inc. $500,000 for failing to disclose fully information about callable securities, including exchange-traded notes and preferred securities, to millions of customers over five years, according to Finra. [read post]
9 Jun 2023, 10:50 am
The Financial Industry Regulatory Authority Inc. promoted Nathaniel Stankard to executive vice president and chief of staff to the CEO for regulatory operations. [read post]
9 Jun 2023, 7:44 am
A Georgia Superior Court judge took a serious whack at Wells Fargo Advisors, as well as the Financial Industry Regulatory Authority Inc., in a January order that dismissed an arbitration claim that Wells Fargo had won 2½ years ago involving a client who sued the firm for mismanaging his account. [read post]
8 Jun 2023, 7:31 pm
The Financial Industry Regulatory Authority Inc. has censured Morgan Stanley and fined the firm $325,000 for publishing research reports that included inaccurate historical stock ratings. [read post]
7 Jun 2023, 8:00 pm
A unanimous three-person Financial Industry Regulatory Authority Inc. arbitration panel ordered UBS Financial Services Inc. to pay $252,627 to Dennis and Nadine Ainbinder, trustees of [...] [read post]
7 Jun 2023, 5:58 pm
The Financial Industry Regulatory Authority Inc. is investigating Daniel T. [read post]
6 Jun 2023, 5:31 pm
Inc., which lost a stunning $36 million claim last week to investors, said that the Financial Industry Regulatory Authority Inc. three-person panel erred in several ways in making its decision. [read post]
6 Jun 2023, 7:49 am
Broker Investigation: Jeffrey Cohen of Moloney Securities On June 5, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor Jeffrey Cohen (CRD #2528929) from the securities industry. [read post]
5 Jun 2023, 5:50 am
The Financial Industry Regulatory Authority Inc. alleged that Todd Anthony Cirella and Edward Scott Short traded in senior customers’ accounts at a level that was “excessive, unsuitable, [...] [read post]
4 Jun 2023, 12:35 pm
Oppenheimer lost the huge arbitration decision, decided by a Financial Industry Regulatory Authority Inc. panel, in September, to eight investors who were [...] [read post]
3 Jun 2023, 5:22 pm
A unanimous three-person Financial Industry Regulatory Authority Inc. arbitration panel ordered Oppenheimer to pay $1,483,670 in compensatory damages to two investors, Bruce Cullen Sr. and Rosemarie Cullen, according to the March 2 [...] [read post]
3 Jun 2023, 1:14 pm
The Financial Industry Regulatory Authority Inc. filed the original version for SEC [...] [read post]
