Search for: "Financial Industry Regulatory Authority"
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18 Jun 2021, 10:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Marc Lippman from the securities industry. [read post]
23 Nov 2016, 1:26 pm
Our firm’s investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Alan Thomilson (Thomilson) currently associated with Lincoln Financial Securities Corporation (Lincoln Financial) alleging unsuitable recommendations to invest in variable products such as variable annuities, equity indexed annuities, and variable life insurance. [read post]
17 Oct 2011, 5:00 am
Financial Industry Regulatory Authority, 2011 U.S. [read post]
14 Nov 2019, 6:32 am
According to the Financial Industry Regulatory Authority on November 12, the regulator has reportedly barred financial advisor Clint H. [read post]
22 Sep 2014, 7:19 am
According to broker Ismail Elmas’ (Elmas) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently discharged from CUSO Financial Services, LP (CUSO Financial) concerning allegations that the broker “converted client funds for personal use as well as participated in an unauthorized outside business activity involving investments without the firm approval…” Previously Elmas was… [read post]
1 Nov 2017, 10:21 am
The Financial Industry Regulatory Authority (FINRA) FINRA, which stands for the Financial Industry Regulatory Authority, is the largest self-regulating organization (SRO) for all securities firms doing business in the United States. [read post]
18 Oct 2021, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
15 May 2019, 1:24 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Thomas’ customer complaints allege that Thomas recommended unsuitable investments and securities among other allegations. [read post]
10 Jun 2019, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Hawkins’ customer complaints allege that Hawkins made unsuitable recommendations in certain structured products. [read post]
2 Jun 2019, 2:21 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Fisher’s customer complaints allege that Bernstein recommended unsuitable variable annuity among other allegations. [read post]
29 Aug 2022, 6:49 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
13 Oct 2017, 9:25 am
Mercury Securities hit with censure and fine In July 2017, the Financial Industry Regulatory Authority (“FINRA”) announced that Mercury Securities of San Rafael, CA submitted an acceptance, waiver and consent letter regarding its failure to effectively approve and document private securities transactions made by their representatives. [read post]
13 Apr 2010, 2:45 pm
On April 12, 2010, the Financial Industry Regulatory Authority (“FINRA”) announced that it had fined D.A. [read post]
28 Nov 2013, 6:00 am
Quebec’s Charbonneau commission into corruption in the construction industry has revealed numerous failings in the province’s regulatory regime, which the government is attempting to address with new laws. [read post]
14 Oct 2011, 5:00 am
Financial Industry Regulatory Authority, 2011 U.S. [read post]
9 Sep 2014, 6:55 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker George Zaki (Zaki) concerning allegations that between June 2010, and August 2012, Zaki implemented and/or executed approximately 3,600 discretionary trades in the accounts of approximately 80 Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
26 Jul 2016, 9:43 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Craig Langweiler (Langweiler). [read post]
13 May 2016, 6:47 am
This development highlights the increasing regulatory and enforcement focus FINRA & the SEC are placing on the use of trading algorithms in the financial services industry. [read post]
20 Nov 2015, 6:57 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Yasnis (Yasnis) has been the subject of 3 customer complaints, and 3 regulatory actions. [read post]
Shepherd Smith Edwards and Kantas Investigates Claims Involving Ex-Pruco Broker Joseph Viet Duy Phan
16 Dec 2019, 4:53 am
Former Pruco Securities Broker Accused of Borrowing Customers’ Money The Financial Industry Regulatory Authority (FINRA) announced that it is barring Joseph Viet Duy Phan, an ex-Pruco Securities broker, after he did not appear at a hearing in the self-regulatory organization’s (SRO) probe into why he was fired by the broker-dealer. [read post]
