Search for: "Financial Industry Regulatory Authority"
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24 May 2022, 11:36 am
Japanese Couple Files FINRA Arbitration Case for Up to $500K in Damages Two older investors from Japan have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Bankoh Investment Services and its broker Yoko K. [read post]
8 May 2024, 9:58 am
Data Governance for Reporting Companies A key regulatory enforcement priority for FinCEN is data governance. [read post]
13 Sep 2021, 6:35 am
According to BrokerCheck records, Schmidt is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial) out of the firm’s Worcester, Massachusetts office location. [read post]
4 Apr 2016, 5:30 pm
The allegations against Lockey were brought by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Nov 2015, 6:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Vincent has been the subject of at least 9 customer complaints, one regulatory event, and three judgment or liens. [read post]
9 Nov 2016, 2:08 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Marc Kalter (Kalter). [read post]
12 Jun 2018, 7:05 am
Martin, a broker with CSSC Brokerage Services was recently hit with a $20,000 fine by the Financial Industry Regulatory Authority (FINRA) and suspended from the industry for 20 business days. [read post]
4 Dec 2019, 11:03 am
According to public records on the Financial Industry Regulatory Authority (FINRA) website, on September 25, the regulator reported the state of Colorado has initiated a regulatory action against Chiellini alleging “potential violations of §§ 11-51-410 (1)(g), and Commissioner Rule 51-4.7(B)(Unsuitability, Unfair and Dishonest Dealings). [read post]
6 Jul 2009, 11:38 am
Mandatory securities arbitration, sponsored by the Financial Industry Regulatory Authority or FINRA, is a "kangaroo court" with a "stacked jury," according to Susan Antilla's June 25 opinion piece in Boolmberg.com. [read post]
2 Apr 2016, 4:09 am
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in DATE, In the Matter of the FINRA Arbitration Between CLAIMANT, Claimants, vs. [read post]
8 May 2017, 1:51 pm
The Office of Information and Regulatory Affairs (OIRA) would “have the same duties and authorities with respect to the [CLEA] as the [OIRA] has with respect to any other agency that is not an independent regulatory agency. [read post]
27 Sep 2023, 7:30 am
Easy Way to Check your Broker – FINRA BrokerCheck Most CFP professionals fall under the jurisdiction of the Financial Industry Regulatory Authority (FINRA) and/or the U.S. [read post]
26 Mar 2012, 1:00 pm
The IAA is concerned because Congress is fully aware of the Financial Industry Regulatory Authority's (FINRA) position and its desire to become the SRO for investment advisers. [read post]
3 Oct 2018, 9:42 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Tennison was barred from the financial industry due to a customer complaint alleging Tennison’s selling away activities during his employment at Geneos Wealth Management Inc (Geneos Wealth). [read post]
26 Mar 2015, 9:26 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Jerry Chancy (Chancy) concerning allegations that Chancy potentially engage in outside business activities and/or the sales of private securities. [read post]
14 Mar 2013, 5:30 am
“Health and safety is not an unnecessary, regulatory burden. [read post]
19 Sep 2008, 3:59 pm
Yesterday the Financial Industry Regulatory Authority ("FINRA") announced auction-rate securities settlements with SunTrust Robinson Humphrey, Comerica Securities, First Southwest, and WaMu Investments, Inc. [read post]
14 Dec 2015, 6:38 am
The securities lawyers of Gana LLP are investigating The Financial Industry Regulatory Authority’s (FINRA) investigation into broker Sperry Younger (Younger). [read post]
14 Nov 2011, 10:18 am
The hedge fund industry supports the European Securities and Market Authority’s principles-based approach in draft guidelines on systems and controls in a highly automated trading environment for trading platforms and investment firms. [read post]
27 Jul 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Clarence Patton Jr (Patton) has been the subject of at least four customer complaints. [read post]
