Search for: "Financial Industry Regulatory Authority"
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1 Mar 2018, 1:09 pm
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Norris Roberts Jr. was barred from the industry for failing to show up at a hearing against him. [read post]
5 Oct 2018, 11:44 am
Following on the heels of a recent report by the NASAA, a group responsible for monitoring the securities industry, which showed that many broker-dealers are not doing enough to monitor “rogue brokers” with a history of multiple indiscretions on their permanent records, news broke recently that supervision of brokers may be further eroded if changes proposed by the Financial Industry Regulatory Authority (FINRA) are passed into official… [read post]
20 Oct 2014, 11:49 am
At first, it looked like he was going to be successful that way, but then someone stole the files he had put together on the issue and turned them over to the Financial Industry Regulatory Authority, the industry’s self-regulatory body. [read post]
6 Apr 2023, 7:23 am
FINRA BrokerCheck is a free online tool provided by the Financial Industry Regulatory Authority (FINRA) that allows individuals to research and verify the background and professional history of brokers, brokerage firms, and investment advisors. [read post]
13 Apr 2019, 12:39 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dean Grant (Grant), formerly associated with M Holdings Securities, Inc. [read post]
21 Mar 2024, 9:04 am
Matthew Chimento Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Matthew Chimento (CRD#: 5749914) from associating with any FINRA member at any time. [read post]
13 Apr 2017, 10:27 am
Horowitz entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. [read post]
12 Sep 2019, 8:47 am
The securities lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Jeffrey Nesseth (Nesseth) currently associated with Independent Financial Group, LLC (Independent Financial) out of Plano, Texas. [read post]
25 Apr 2019, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael Olinde (Olinde), currently associated with Capital Financial Services, Inc. [read post]
25 Sep 2018, 7:36 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Clifton Roberts (Roberts), formerly associated with LPL Financial LLC (LPL Financial) in Houston, Texas was terminated for cause by LPL Financial in April 2018 after the firm made allegations that Roberts violated of firm policy regarding outside business activities (OBAs). [read post]
19 Aug 2020, 7:40 am
Breach of Fiduciary Duty Involving Retirement Fund Alleged Stephen Fergus Curry, a longtime Kestra Advisory Services registered representative, is named in a nearly $7.8M Financial Industry Regulatory Authority (FINRA) complaint accusing him of breach of fiduciary duty over services performed related to a retirement fund. [read post]
6 Aug 2021, 7:42 am
Chu was barred by the Financial Industry Regulatory Authority (FINRA) last year. [read post]
David Lerner Associates Unsuitably Recommended Energy Resources 12 and Energy 11 To Disabled Widower
13 Jul 2021, 4:27 am
Family of Senior Investor Pursues Up to $500K in Damages on His Behalf The family of a Connecticut widower has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against David Lerner Associates after the older investor suffered a six-figure loss in Energy 11 and Energy Resources 12, which are sold exclusively by the brokerage firm to its customers. [read post]
15 Nov 2023, 8:50 pm
There is Still Time To Try To Recover Your GWG L Bond Losses California Brokers From Expelled Firm Ordered To Pay More Than $1M To Investor A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded over $1 million in damage to a GWG L Bond investor. [read post]
14 Aug 2020, 9:02 am
In the dispute, filed with the Financial Industry Regulatory Authority (FINRA) arbitration, the client is seeking $712K in compensatory damages. [read post]
28 Sep 2007, 4:18 pm
By Elena Malykhina from InformationWeek, September 28, 2007: "The Financial Industry Regulatory Authority this week said Morgan Stanley has to pay $12.5 million in fines to resolve charges for mishandling e-mail dated before the Sept. 11, 2001, terrorist attacks.Morgan Stanley on numerous occasions failed to provide e-mails requested by claimants in arbitration proceedings and regulators, FINRA said. [read post]
8 Aug 2022, 7:00 am
Claimants file FINRA arbitration claim against National Securities Two Florida retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against National Securities Corp. [read post]
16 Mar 2010, 1:12 am
The Financial Industry Regulatory Authority’s National Adjudicatory Council has dismissed the charges against former Knight Securities, L.P. [read post]
5 Mar 2013, 11:42 am
On February 21, 2013, a Financial Industry Regulatory Authority (FINRA) disciplinary hearing panel permitted Charles Schwab & Company, Inc. to maintain its predispute arbitration provision in its customer agreement that includes a class action waiver (pdf). [read post]
29 Jun 2010, 6:48 am
In 2005, 5,111 broker-dealers were registered with the Financial Industry Regulatory Authority (FINRA); today, the number of firms has declined by 8.2% to 4,693. [read post]
