Search for: "Financial Industry Regulatory Authority"
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24 Aug 2022, 7:00 am
Retail Customers Are Each Requesting Up to Six Figures in Damages for Their Losses Our GWG L Bond loss attorneys continue to file Financial Industry Regulatory Authority (FINRA) arbitration claims against Centaurus Financial because its affiliated brokers unsuitably marketed and sold L Bond to customers, including inexperienced investors and retirees. [read post]
23 Jul 2021, 3:00 am
Texas-Based Brokerage Firm Accused of Overconcentration & Supervisory Failures NEXT Financial Group has arrived at a $750K settlement with the Financial Industry Regulatory Authority (FINRA) to resolve claims that the Texas-based broker-dealer overconcentrated customer accounts in Puerto Rico municipal bonds and did not have the kind of supervisory system that could have identified unsuitable trades. [read post]
2 Feb 2012, 7:15 am
The Financial Industry Regulatory Authority (FINRA) recently issued a report outlining is its regulatory and examination priorities for 2012. [read post]
13 Nov 2018, 12:01 pm
(GWN Securities) has been been sanctioned and barred by The Financial Industry Regulatory Authority (FINRA). [read post]
22 Jan 2010, 6:00 am
Investment News reported on 1/4/10 that there are many claims of financial elder abuse in stockbroker fraud arbitrations, but that the Financial Industry Regulatory Authority (FINRA) rarely cites the abuse when handing out awards. [read post]
17 May 2018, 5:09 am
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 adjudication of any issue, the Industrial and Commercial Bank of China Financial Services LLC, ("ICBCFS")submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
30 May 2012, 1:02 pm
GAO released a report, Opportunities Exist to Improve SEC's Oversight of the Financial Industry Regulatory Authority (GAO-12-625, May 30, 2012). [read post]
23 Jun 2009, 4:51 am
However, this Office would not appear to have any regulatory authority over the insurance industry. [read post]
23 Oct 2020, 11:17 am
Jeremy Joseph Cook of Lafayette, Louisiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for failing to provide documents to FINRA in violation of FINRA Rules 8210 and 2010. [read post]
15 Feb 2013, 6:02 am
On January 21, 2013, the International Organization of Securities Commissions (IOSCO), of which the Financial Industry Regulatory Authority, Inc. is an affiliate member, published its final report on Suitability Requirements With Respect to the Distribution of Complex Financial Products. [read post]
31 Jul 2017, 12:45 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against financial advisor Gregory Pease (Pease). [read post]
10 May 2024, 2:06 pm
FINRA Charges SoFi Financial after Unauthorized Funds Transfers SoFi Financial, headquartered in San Francisco and catering to self-directed retail clients, has agreed to a $1.1 million penalty to resolve charges from the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jun 2021, 8:50 am
On June 30, 2021, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Robinhood Financial LLC to pay approximately $70 million for systemic supervisory failures and significant harm suffered by millions of customers. [read post]
16 May 2022, 6:42 am
Elderly Couple is Seeking Up to $500K Plus Interest and Costs Against Centaurus Financial Two older investors, both retired and on disability, have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Centaurus Financial over losses they sustained from purchasing GWG L Bonds. [read post]
21 Dec 2020, 3:49 am
FINRA Bars Californian Financial Advisor After Older Customers Suffer Huge Losses Cynthia Diane Cowden, a former NPB Financial Group stockbroker, has been barred by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Apr 2018, 8:41 am
FINRA Reportedly Bars Brett Ashy, Mississippi Financial Advisor According to the Financial Industry Regulatory Authority (FINRA), on February 7 the regulator issued a Letter of Acceptance, waiver and consent (AWC) in which Brett Alexander Ashy (CRD #5794420, Jackson, Mississippi) was reportedly barred from association with any FINRA member in all capacities. [read post]
15 Dec 2017, 12:49 pm
The Financial Industry Regulatory Authority Inc. has reportedly barred former LPL Financial broker Leslie “Les” Koonce based on alleged misrepresentations by Mr. [read post]
7 Jun 2012, 7:20 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority... [read post]
3 Jan 2011, 11:16 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded $2,200,000.00 [read post]
22 May 2012, 5:14 am
In a Financial Industry Regulatory Authority (? [read post]
