Search for: "Financial Industry Regulatory Authority"
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13 Jul 2018, 5:39 am
– Boca Raton, Florida According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred financial advisor Mitchell Yanow (CRD # 2148171) from the securities industry for allegedly converting funds from an elderly client. [read post]
23 Apr 2016, 10:52 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Zak Shapiro (Shapiro). [read post]
16 Jul 2015, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against ARI Financial Services, Inc. [read post]
25 Aug 2014, 6:36 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations that in connection with a FINRA investigation into allegations of misconduct in several customer accounts, FINRA staff scheduled Davis’ on-the-record (OTR) testimony and Davis failed to appear for the scheduled testimony and informed the agency that he would not appear at another time. [read post]
5 Jun 2023, 7:55 pm
When Broker-Dealer Supervisory Failures Don’t Protect Investors’ Best Interests Our Trusted Brokerage Firm Negligence Lawyers May Be Able To Help You Pursue Damages The Financial Industry Regulatory Authority (FINRA) is ordering two broker-dealers to pay penalties for compliance failures related to Regulation Best Interest (Reg BI). [read post]
29 Sep 2017, 12:26 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Peter Butler (Butler), in January 2017, was terminated by his firm Ameriprise Financial Services, Inc. [read post]
2 Jan 2020, 12:25 pm
According to the Financial Industry Regulatory Authority (FINRA) on May 22, 2017, Christopher A. [read post]
23 Oct 2015, 2:59 am
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, David den Boer submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
17 Dec 2014, 2:26 am
After the dust settles, however, we are left wondering what took the regulator so long to resolve what appears to have been a slam-dunk case.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, Stuart A. [read post]
28 May 2021, 8:56 am
Unfortunately, there just doesn't seem to be a satisfactory answer to that seminal question, which leaves the supervisor in an uncomfortable posture.Reynolds 2015 AWCFor 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, S... [read post]
3 May 2019, 6:26 am
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, Midtown Partners & Co.. [read post]
8 May 2015, 9:54 am
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, Michael A. [read post]
23 Mar 2015, 5:33 am
Today's BrokeAndBroker.com Blog examines the ensuing regulatory settlement involving her failed disclosure.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, Deborah S. [read post]
7 Nov 2016, 3:35 am
What you see is what you get is very true when it comes to reading regulatory settlements by Wall Street's self-regulatory organization the Financial Industry Regulatory Authority. [read post]
1 Nov 2015, 4:44 am
You be the judge.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, Karen Tautges-Parisian submitted a Letter... [read post]
12 Dec 2014, 7:12 am
Nonetheless, after you've read today's column, walk about your branch office and make sure everything is plugged in and turned on.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, Commerce Brokerage Services, Inc. submitted a Letter… [read post]
28 Jan 2015, 5:04 am
Consider this recent regulatory settlement.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, Nnamdi B. [read post]
11 Jun 2013, 9:04 am
And, finally, you got a nightmare of Wall Street regulatory and compliance problems, as this recent case shows.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, Warren L. [read post]
24 Jan 2020, 4:10 am
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, Kerry D. [read post]
23 Oct 2017, 4:15 am
Of course, try to do something nice and it inevitably attracts those among us who see an opportunity to make a few bucks -- as a recent FINRA regulatory settlement demonstrates.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 adjud... [read post]
