Search for: "Financial Industry Regulatory Authority"
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30 Oct 2017, 7:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Robinson has been accused by customers of unsuitable investment advice among other claims. [read post]
10 Nov 2017, 5:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Sibilla has been accused by customers of unsuitable investments, misrepresentations, excessive trading, and misuse of margin among other claims. [read post]
25 Apr 2019, 10:59 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Spach’s customer complaint alleges that Spach introduced a client of his independent advisory firm to an outside investor. [read post]
5 Nov 2010, 6:38 pm
A Financial Industry Regulatory Authority arbitration panel has ordered UBS AG to pay two clients $529,688 over their purchase of Lehman Brothers Holdings notes. [read post]
2 May 2018, 8:14 am
Mendocino County is the latest to sign an agreement with the California Cannabis Authority in an effort to help local governments with regulatory compliance and assist in creating a rich pool of data about the cannabis industry. [read post]
19 Jun 2017, 11:35 am
Broker Daniel Vazquez (Vazquez) was recently sanctioned by The Financial Industry Regulatory Authority (FINRA) in an enforcement action that resulted in a permanent bar from the securities industry. [read post]
10 Mar 2017, 8:48 am
., offered an amendment that would direct the Financial Industry Regulatory Authority (FINRA) to create a fund that would cover unpaid arbitration awards. [read post]
23 Mar 2023, 8:53 am
The Financial Industry Regulatory Authority (FINRA), the regulator that oversees financial advisors and brokerage firms, requires registered representatives to disclose any outside business activities (OBAs) to their member firm, which is the firm that employs them. [read post]
16 Dec 2009, 5:18 am
Kelvin Koma, a former financial adviser with JP Morgan Chase Bank, has been barred from associating with any member of the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jan 2019, 11:31 am
Simanski was barred by the Financial Industry Regulatory Authority in 2016 after a client reported him to the self-regulatory authority and he was fired by the financial firm. [read post]
3 Nov 2009, 10:10 am
Both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have issued warnings that leveraged and inverse exchange ETF's are not suitable for most retail investors, and at least one state has announced an investigation into the sales practices of ETF's. [read post]
24 Dec 2019, 9:20 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Albert Foronda (Foronda), currently associated with Spartan Capital Securities, LLC (Spartan Capital), has been subject to at least three customer complaints and one regulatory investigation during his career. [read post]
29 Jul 2015, 7:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Homer Vining (Vining) has been the subject of at least one customer complaint and three regulatory actions. [read post]
25 Nov 2019, 8:26 am
According to the Financial Industry Regulatory Authority on November 21, the regulator has reportedly barred financial advisor Dennis Nakamura after he allegedly refused to appear and provide on-the-record testimony in FINRA’s investigation into whether he violated FINRA rules by making unsuitable investment recommendations to customers while associated with a member firm. [read post]
25 Oct 2018, 1:47 pm
Publication of the Financial Industry Regulatory Authority’s (“FINRA”) rule reform by the federal Securities and Exchange Commission (“SEC”) clarifies the enhanced practice rules recently enacted to protect investors from financial exploitation. [read post]
20 May 2019, 6:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Hobby’s customer complaints allege that Hobby recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
29 Jul 2011, 3:47 pm
The securities industry wants the Department of Labor to coordinate with the SEC regarding a proposal to redefine the term “fiduciary” under the Employee Retirement Income Security Act (ERISA), effectively changing 35 years of established regulatory certainty. [read post]
17 May 2020, 12:44 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bourke’s customer complaints alleges that Bourke recommended unsuitable investments in various investments including allegations of concentrations in energy securities among other allegations of misconduct relating to the handling of their accounts such as unauthorized trading. [read post]
31 Aug 2020, 4:00 am
Ronald Walter Hannes of Spokane, Washington submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly failing to produce documents and information requested by FINRA in violation of FINRA Rules 8210 and 2010. [read post]
25 Jun 2019, 7:23 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Debra Bourne (Bourne) has been subject to at least five customer complaints during her career. [read post]
