Search for: "Financial Industry Regulatory Authority"
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6 Oct 2019, 10:19 am
Volpe, formerly registered with First Financial Equity Corporation (First Financial) and LPL Financial LLC (LPL Financial) was subject to an investigation by The Financial Industry Regulatory Authority (FINRA) over these allegations. [read post]
5 May 2016, 1:00 pm
The CAT incorporates cybersecurity-related principles from the FFIEC IT Examination Handbook and regulatory guidance, and concepts from other industry standards, including the National Institute of Standards and Technology (NIST) Cybersecurity Framework. [read post]
8 Aug 2008, 7:39 pm
Citigroup Global, Merrill Lynch, Wachovia Securities, UBS, Charles Schwab, and Morgan Stanley have volunteered to participate in a Financial Industry Regulatory Authority pilot program that would allow investors to have their cases heard by a panel consisting of three public arbitrators. [read post]
25 May 2021, 11:41 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended Triad Advisors LLC broker Mark Just from the securities industry for three months for willfully failing to timely amend his Uniform Application for Securities Industry Registration or Transfer (Form U4) to disclose two state tax liens, which totaled $37,333.80. [read post]
10 Mar 2021, 4:53 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Mayur T. [read post]
17 May 2021, 2:23 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Candido Viyella. from the securities industry. [read post]
14 Jun 2021, 7:48 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Salvatore Pizzimenti from the securities industry. [read post]
3 Feb 2014, 6:26 am
Broker Benjamin Cox (Cox) has settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning improper sales of oil and gas private placement offerings sold by Red River Securities LLC (Red River). [read post]
24 Nov 2016, 6:33 am
Ontario’s Fall 2016 Economic Statement announced that government’s intention to introduce a new financial services regulator which will be known by the acronym FSRA (Financial Services Regulatory Authority). [read post]
13 Oct 2009, 11:00 am
Citigroup, Inc. has agreed to pay a $600,000 Financial Industry Regulatory Authority fine to settle claims that its alleged inadequate supervision of certain derivative transactions between 2002 and 2005 allowed a number of foreign clients to avoid paying taxes on dividends. [read post]
22 Aug 2016, 2:23 pm
It was reported by Reuters on August 20, 2016 that the Financial Industry Regulatory Authority (FINRA) filed a complaint against a broker alleging that they broker engaged in unauthorized trading in the account of a senior aged investor. [read post]
4 Feb 2011, 12:11 pm
Private-placements deals in Medical Capital Holdings and Provident Royalties have become a bone of contention for the Financial Industry Regulatory Authority (FINRA), which plans to focus new attention on the broker/dealers responsible for selling the opaque and illiquid private investments to investors. [read post]
29 Aug 2012, 11:50 am
The goal of FINRA (the Financial Industry Regulatory Authority) is to “strengthen, streamline and clarify” those veryimportant investor protection rules. [read post]
4 May 2021, 7:18 am
Alabama Investor Contends The Daughtry Group Owner Unsuitably Invested His Retirement Funds Another investor has stepped forward to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against Kestra Investment Services over financial losses sustained while working with the firm’s former broker, James Blake Daughtry. [read post]
22 Jul 2021, 3:00 am
Former Tucson, Arizona Financial Advisor Has Two Pending Complaints on Record If you suffered losses while working with ex-Morgan Stanley registered representative Francisco Javier Valenzuela, you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover your losses. [read post]
20 Jul 2022, 12:17 pm
Hiko, Nevada Financial Advisor, BL Whipple Wealth Management, LLC Three investors have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Newbridge Securities. [read post]
28 Mar 2022, 7:20 am
Beechwood Bermuda Investor Was Unsuitably Recommended Non-Traded REIT Healthcare Trust Another Chinese investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services over losses suffered in Beechwood Bermuda (a Northstar Financial Services (Bermuda)-related product). [read post]
31 Aug 2021, 7:36 am
FINRA Barred New York Financial Advisor Following Unsuitability & Churning Allegations If you have suffered investment losses while working with ex-Worden Capital Management broker Christ Elias Baltas, you may be able to pursue damages by filing a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
14 Jul 2021, 6:30 am
Old Mutual Investor Seeks Up To $500K in Damages An investor from Mexico has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against J.P. [read post]
15 Nov 2017, 12:54 pm
If your financial advisor has recommended an unsuitable investment in a Master Limited Partnership (or “MLP”) without a reasonable basis for the recommendation, you may be able to recover losses through arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
