Search for: "Financial Industry Regulatory Authority"
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24 Jul 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Christopher Orlando (Orlando) has been the subject of at least two customer complaints, and one judgement or lien. [read post]
25 May 2018, 7:59 am
According to a recent Decision by the Financial Industry Regulatory Authority (FINRA), Aon D. [read post]
10 Sep 2015, 9:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Francine Frechter (Frechter) has been the subject of two customer complaints and one employment separation. [read post]
1 Sep 2015, 7:35 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2014040633301) broker Tyler Powell (Powell) concerning allegations that Powell exercised discretion in a customer’s account without obtaining prior written authorization from the customer. [read post]
21 Jul 2017, 8:52 am
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Alan Rose. [read post]
10 Apr 2015, 6:14 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Brian Exford (Exford) concerning allegations Exford refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into possible private securities transactions (also referred to as “selling away”). [read post]
10 Nov 2017, 5:55 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Houck has been accused by a customer of churning, negligence, excessive trading, and breach of fiduciary duty from August 2011 to January 2016 causing $150,000 in damages. [read post]
29 May 2017, 9:24 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against current FSC Securities Corporation (FSC Securities) broker Brian Presley (Presley). [read post]
16 Aug 2022, 6:26 am
New York Broker Allegedly Cost Customers Six-Figure Losses, Trading Costs, and Commissions The Financial Industry Regulatory Authority (FINRA) has suspended Spartan Capital Securities financial advisor James Robert Pecoraro for nine months. [read post]
26 Dec 2017, 9:30 pm
The Regulatory Review is pleased to highlight the top fifty pieces of 2017 authored by The Regulatory Review staff contributors. [read post]
20 Apr 2016, 3:00 pm
If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
19 May 2017, 9:08 am
Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. [read post]
19 Sep 2018, 3:43 pm
According to a recent InvestmentNews article, former broker Bradley Mascho allegedly failed to appear at a hearing with the Financial Industry Regulatory Authority (FINRA). [read post]
27 May 2020, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Arora was terminated by his prior employer, Transamerica Financial Advisors, Inc. [read post]
8 May 2017, 8:39 am
In an effort to help protect the elderly U.S. population the Financial Industry Regulatory Authority (FINRA) has announced that the Securities and Exchange Commission (SEC) has approved a new rule and an amendment that are specific to customers who are elders. [read post]
20 Aug 2009, 8:55 am
In the face of regulatory inquiries and pronouncements by the Financial Industry Regulatory Authority (FINRA) on the inherent risks they pose to retail investors, more brokerages are curtailing their activity in leveraged and inverse exchange traded funds (ETFs). [read post]
14 Sep 2009, 1:30 pm
Unfortunately, there are some in the financial industry who are misreading this moment. [read post]
1 Nov 2023, 12:38 pm
FINRA (The Financial Industry Regulatory Authority) is the self-regulator that oversees brokers and brokerage firms. [read post]
1 May 2016, 9:30 pm
Deny the harmfulness of particulate matter pollution and vote to authorize subpoenas to the American Cancer Society and Harvard University seeking confidential patient data underlying the studies showing fine particles to be deadly. [read post]
12 Jul 2018, 6:04 am
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Sandeep Varma (Varma). [read post]
