Search for: "Financial Industry Regulatory Authority"
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7 Dec 2022, 8:28 pm
A few months ago, a Financial Industry Regulatory Authority panel ordered the broker-dealer to pay a number of investors $36.7M for allegedly failing to properly supervise Woods and for other, purported related broker-dealer negligence. [read post]
6 Jun 2023, 6:59 pm
Shepherd Smith Edwards and Kantas Wins $953K FINRA Arbitration Award Against Crown Capital Securities Investors Suffered Losses in GPB, Non-Traded REITS, & Oil and Gas Shepherd Smith Edwards and Kantas (investorlawyers.com) are pleased to announce that a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $953,364K in their broker-dealer negligence lawsuit against Crown Capital Securities. [read post]
7 Dec 2022, 8:31 pm
Filing a FINRA Lawsuit May Help Investors Recoup Private REIT Losses Texas Investor Alleges Unsuitability and Other Broker Misconduct Against Calton and Associates Once again, Shepherd Smith Edwards and Kantas (investorlawyers.com) have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim on behalf of an investor who has suffered losses in Private REITs. [read post]
22 Feb 2021, 7:44 am
FINRA Arbitration Claim Seeks $250K in Damages, Possibly Involving Energy 11 LP An investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim naming David Lerner Associate, Glenn Howard Werner. [read post]
18 Jan 2018, 9:10 am
According to a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Hancock Investment Services was censured and fined $100,000. [read post]
7 Oct 2020, 7:42 am
Retiree Alleges Overconcentration in Spirit of America Energy Fund David Lerner Associates and its registered representative, Gary Walter Isler, are once again the subject of a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
20 Jan 2012, 9:55 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel issued an Award on January 13, 2012 ordering CapWest Securities, Inc. [read post]
23 Feb 2012, 2:38 am
In a Financial Industry Regulatory Authority (? [read post]
24 Oct 2017, 7:12 am
In July, 2017, the Financial Industry Regulatory Authority (“FINRA”) announced that Trident Partners Ltd. of Woodbury, NY, submitted an acceptance, waiver and consent letter regarding its failure to supervise its reps in their selling of steepeners. [read post]
27 Aug 2024, 6:38 pm
Riley Wealth Management of Broker Fraud Claimant’s Investment Loss Recovery Case Is Asking For Up To $1M A retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against B. [read post]
7 Jul 2014, 10:27 am
According to reports, the Financial Industry Regulatory Authority (FINRA) has barred Claus Foerster from the industry in connection with an alleged Ponzi Scheme. [read post]
19 May 2021, 1:13 pm
Former SunTrust Advisory Services Investment Adviser Luisa Gonzales Unsuitably Recommended Northstar Bermuda Products A senior investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim seeking up to $500K in damages against Truist Investment Services for losses he suffered in Northstar Financial Services (Bermuda). [read post]
23 Aug 2021, 4:00 am
Retiree Suffers Significant Losses in PB Investment Holdings on Recommendation of Cetera Financial Advisor A Chinese national has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim over losses she suffered after a Cetera Investment Services advisor unsuitably recommended and sold a PB Investment Holdings annuity to her. [read post]
5 May 2017, 11:23 am
Although the industry regulator, the Financial Industry Regulatory Authority, Inc. [read post]
3 Nov 2011, 11:46 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Securities LLC $12 million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
30 Aug 2013, 5:56 am
Turo) recently reached a settlement with the Financial Industry Regulatory Authority (FINRA) concerning allegations that he sold unregistered, nonexempt securities through general solicitation of the public in violation of Section 5 of the Securities Act of 1933 and in violation of NASD Rule 2110 and FINRA Rule 2010. [read post]
28 Nov 2017, 6:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Alonza Barnett (Barnett), in March 2017, was barred from the industry by FINRA after FINRA requested documents and information and he failed to request termination of his suspension within three months of the date of the Notice of Suspension drawing an automatic bar from association with any FINRA member in all capacities. [read post]
31 May 2017, 6:08 am
The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) resulting in a bar of broker Norman Ferra Jr. [read post]
14 Jun 2017, 7:52 am
The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) resulting in a bar of broker Norman Ferra Jr. [read post]
12 Jul 2021, 2:26 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended former Aegis Capital Corp. financial advisor Douglas Szempruch from the securities industry for 12 months. [read post]
