Search for: "Financial Industry Regulatory Authority"
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14 Jun 2021, 7:48 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Salvatore Pizzimenti from the securities industry. [read post]
14 Jun 2021, 6:37 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Dwight Dykstra (Dykstra) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
14 Jun 2021, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Gebron’s customer complaints alleges that Gebron recommended unsuitable investments in various investments. [read post]
11 Jun 2021, 5:28 am
Recently the Financial Industry Regulatory Authority sanctioned three broker-dealers for their alleged failure to conduct adequate due diligence before permitting the sale of the LJM alternative mutual fund and failure to supervise their representatives’ recommendation of LJM. [read post]
11 Jun 2021, 5:28 am
Recently the Financial Industry Regulatory Authority sanctioned three broker-dealers for their alleged failure to conduct adequate due diligence before permitting the sale of the LJM alternative mutual fund and failure to supervise their representatives’ recommendation of LJM. [read post]
11 Jun 2021, 5:28 am
Recently the Financial Industry Regulatory Authority sanctioned three broker-dealers for their alleged failure to conduct adequate due diligence before permitting the sale of the LJM alternative mutual fund and failure to supervise their representatives’ recommendation of LJM. [read post]
10 Jun 2021, 2:10 am
If you are a financial service employee, such as a broker, investment advisor, wealth manager, capital acquisition broker, work with funding portals or provide similar services, you are mostly likely subject to rules and regulations governed by the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jun 2021, 8:58 am
On June 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Titan Securities entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) whereby Titan Securities consented to a censure and $20,000 fine. [read post]
9 Jun 2021, 6:00 am
No one helps the public and the authorities wonder why the public are losing confidence in the leaders and the financial system. [read post]
8 Jun 2021, 1:45 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Ricardo Turlan from the securities industry for two months. [read post]
8 Jun 2021, 11:57 am
The Financial Industry Regulatory Authority “(FINRA”) has suspended Cadaret, Grant & Co., Inc. broker Matthew Zanowiak from the securities industry for ten business days for exercising discretion without written authorization in approximately 15 customer accounts. [read post]
8 Jun 2021, 11:07 am
FINRA Reportedly Bars Cynthia Komarek after Customer Complaints According to the Financial Industry Regulatory Authority (FINRA) on June 4, the regulator has reportedly barred financial advisor Cynthia Komarek (CRD #1188714) from the securities industry. [read post]
8 Jun 2021, 9:21 am
FINRA Bars Grant Birkley after Alleged Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA) on June 4, the regulator has reportedly barred financial advisor Grant Birkley (CRD #2933533) from the securities industry. [read post]
7 Jun 2021, 8:55 pm
International regulatory bodies Closing date 30 June 2021: IOSCO issues industry surveys on conduct risks in leveraged loans and collateralized loan obligations EU legislation and guidelines entering into force 26 June 2021: EU Investment Firm Prudential Regime comes into force. [read post]
7 Jun 2021, 12:24 pm
The Financial Industry Regulatory Authority (FINRA) reportedly barred Rockwell in February 2020 from associating with any FINRA member firm in all capacities. [read post]
7 Jun 2021, 9:29 am
.: The House Judiciary Subcommittee on Courts, Intellectual Property and the Internet will hold a hearing on civil enforcement of congressional authorities. [read post]
7 Jun 2021, 8:33 am
FINRA Bars Richard Demetriou of Titan Securities for Unapproved Securities Sales According to a Financial Industry Regulatory Authority (FINRA) Decision on June 2, 2021, the regulator found that Richard Demetriou, a registered representative at Titan Securities in Addison, Texas, allegedly made material, false and misleading statements to customers, engaged in undisclosed, unapproved outside business activities, violated advertising and communications with… [read post]
7 Jun 2021, 8:26 am
Broker-dealers are regulated by and required to be registered with the Financial Industry Regulatory Authority (FINRA). [read post]
4 Jun 2021, 3:03 pm
SYK is pleased to announce that attorney Darlene Pasieczny (“Pah-shetch-nee”) has been appointed by the Board of Governors for the Financial Industry Regulatory Authority (FINRA) to serve a three-year term on the National Arbitration and Mediation Committee (NAMC). [read post]
4 Jun 2021, 2:04 pm
Case In PointOn June 12, 2020, the Financial Industry Regulatory Authority ("FINRA")/ Department of Enforcement filed a Complaint against Adam James Makkai alleging that he violated FINRA Rules 2040 and 2010 by paying $27,037 in commissions to a... [read post]
