Search for: "Financial Industry Regulatory Authority"
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19 Jul 2016, 8:53 am
Think carefully before you open your mouth or sign your name at the bottom of a certification.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, Joseph B. [read post]
4 May 2018, 10:59 am
It's a fairly compelling effort by FINRA but for the fact that the published settlement agreement raises a few questions that aren't answered.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, E.J. [read post]
31 Mar 2014, 4:15 am
In today's BrokeAndBroker.com Blog, we follow the story of a stockbroker who may have entered into tepid water only to find himself in a boiling compliance and regulatory mess.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 2012 regulatory hearing, and without an adjudication of any issue, Jeffrey Carter… [read post]
17 Sep 2014, 9:01 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 w... [read post]
24 Oct 2015, 6:05 am
A recent FINRA regulatory settlement presents us with a troubling fact pattern in which an elderly couple seem to have been taken advantage of by their stockbroker.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, Anthony C. [read post]
8 Aug 2023, 8:55 pm
Recently, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial $3M after finding that the firm allegedly failed to properly supervise its registered representatives, which placed customers at risk of suffering serious investment losses. [read post]
10 Mar 2017, 11:05 am
The Financial Industry Regulatory Authority (FINRA) has filed with the SEC a proposal to streamline the competency exam requirement so that individuals may more easily enter and re-enter the securities industry. [read post]
8 Apr 2019, 12:49 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred James Bylenga, former LPL broker over possible loans from clients. [read post]
28 Oct 2015, 6:07 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Brent Porges (Porges) has been the subject of at least four customer complaints, six judgements or liens, and one regulatory investigation. [read post]
15 Nov 2015, 6:40 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Gill (Gill) has been the subject of at least 9 customer complaints, 2 criminal matters, 2 employment terminations, and 5 regulatory complaints. [read post]
14 Aug 2015, 8:38 am
Per Financial Industry Regulatory Authority’s (FINRA) announcement this week, a former registered representative of Caldwell International Securities Corp., Richard Adams aka Rasheed Aree Adams, has been barred permanently from the securities industry for churning customer accounts, other securities violations, and failure to report many unsatisfied judgments and liens on his U4 Registration Form as stipulated in FINRA rules. [read post]
11 Jun 2018, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Travers (Travers), operating under the d/b/a Travers and Associates, Inc., in December 2017, was barred from the financial industry by FINRA concerning allegations that he engaged in private securities transactions. [read post]
17 Jan 2018, 6:21 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Royster (Royster), formerly associated with HD Vest Investment Services (HD Vest), in November 2017, was barred from the financial industry by FINRA concerning allegations that he borrowed funds from clients. [read post]
Advisor Neil Fineman Barred By Regulator For Selling $2.5 Million in Private Securities Transactions
9 Jun 2018, 1:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Neil Fineman (Fineman), operating under the d/b/a Executive Wealth Strategies, in December 2017, was barred from the financial industry by FINRA concerning allegations that he engaged in private securities transactions. [read post]
18 Jun 2012, 9:30 pm
For a practitioner, the most creative part of the regulatory process is in discussions with the agency that has been delegated authority to implement a statute. [read post]
8 Sep 2015, 6:27 am
According to BrokerCheck, as maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
15 Oct 2017, 10:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Bruce Barber (Barber), in September 2017, was accused by FINRA of engaging in an undisclosed outside business activity by serving as an advisor to the Board of Directors for ABC, LLC (ABC) and being compensated by the company with warrants. [read post]
30 Jul 2009, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) has fined Merrill Lynch and UBS Financial Services $250,000 for supervisory failures that led to unsuitable sales of closed-end funds. [read post]
16 Jun 2021, 12:55 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Marc Reda. [read post]
11 Jul 2016, 2:17 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
