Search for: "Financial Industry Regulatory Authority"
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7 Nov 2018, 11:45 am
On October 31, 2018 the Financial Industry Regulatory Authority published Regulatory Notice 18-37, which announces the commencement of the 2019 Renewal Program for registered investment advisers and broker-dealers. [read post]
6 Jul 2021, 7:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Juan Ceja from the securities industry. [read post]
27 Dec 2017, 7:36 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against broker James Cox (Cox). [read post]
12 Mar 2021, 11:01 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against broker Clyde Anthony Jensen. [read post]
30 Apr 2009, 11:48 am
The Financial Industry Regulatory Authority (FINRA) announced this week that it has fined Centaurus Financial, Inc. $175,000 for failing to protect confidential customer information. [read post]
2 Mar 2020, 5:56 am
Broker-Dealers Accused of Not Properly Supervising Custodial Accounts The Financial Industry Regulatory Authority (FINRA) announced that it has fined five major firms $1.4M in total for not reasonably supervising custodial accounts. [read post]
20 Oct 2022, 5:43 am
FINRA Reportedly Bars Advisor Mitchell Biernick after allegations of Unsuitable Recommendations According to the Financial Industry Regulatory Authority (FINRA) on October 18, 2022, the regulator has barred Mitchell Biernick (CRD #2690172) from working in the securities industry after he reportedly refused to appear for on the record testimony. [read post]
4 Feb 2019, 7:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Carver’s customer complaints allege that Carver made unsuitable recommendations in a variety of securities including alternative investments such as REITs. [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play […] [read post]
18 Nov 2014, 8:46 am
Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play […] [read post]
5 Oct 2009, 4:00 am
In a nod to the growing dissatisfaction felt by investors over the actions - or inactions - of their financial advisers and stock brokers, new arbitration cases filed with the Financial Industry Regulatory Authority (FINRA) soared 65%, to 4,991, through August 2009, after climbing to 3,018 for the same period last year. [read post]
23 Nov 2016, 1:26 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Michael DiGaetano (DiGaetano) currently associated with Independent Financial Group, LLC (Independent Financial) alleging unsuitable investments, misrepresentations, fraud, negligence, breach of contract, and breach of fiduciary duty among other claims. [read post]
3 Dec 2016, 11:30 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Troy Tremblay (Tremblay) currently registered with Centaurus Financial, Inc. [read post]
6 Nov 2017, 9:38 am
According to the Financial Industry Regulatory Authority, in June 2017, FINRA began an examination into possible sales practice violations committed by Victor Michel while he was registered with Financial West Group (FWG). [read post]
15 Nov 2016, 3:32 pm
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Barranco (Barranco). [read post]
10 May 2019, 1:19 pm
An egg-farming family based in New York has been awarded $3.2M in its Financial Industry Regulatory Authority (FINRA) arbitration claim against AXA Financial. [read post]
9 Sep 2018, 7:15 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Daniel Flores (Flores), formerly associated with Woodbury Financial Services, Inc. [read post]
2 Mar 2021, 12:23 pm
FINRA Reportedly Bars Broker Rhett Bedwell after Allegations of Unauthorized investment in a Ponzi-scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Rhett Bedwell (CRD #5664392) from the securities industry after he reportedly failed to provide information in FINRA’s investigation into circumstances of a customer complaint alleging an unauthorized investment in a… [read post]
9 Jun 2018, 1:04 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Anthony Sica (Sica) has been subject to three regulatory actions and nine customer complaints. [read post]
17 Sep 2022, 7:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Mark Kemp (Kemp) has at least 14 disclosable events. [read post]
