Search for: "Financial Industry Regulatory Authority"
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14 May 2019, 11:23 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Dean Grant from associating with any FINRA member at any time. [read post]
1 Jul 2018, 4:44 am
According to BrokerCheck records, Pravlik has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Pravlik for various violations of the securities laws. [read post]
26 Jun 2010, 3:00 am
In Deal, New Authority over Wall Street, NY Times, Jan 25, 2010; Lawmakers reach compromise on Financial Regulation, Bloomberg, June 26, 2010. [read post]
30 Apr 2014, 6:45 am
The Financial Industry Regulatory Authority (FINRA) has barred financial advisor William B. [read post]
9 Mar 2016, 12:11 pm
The securities fraud lawyers of Gana LLP are investigating a regulatory complaint (Disciplinary No. 2015043159501) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Kevin Murphy (Murphy). [read post]
15 Mar 2011, 8:00 am
Wall Street Journal reporter Suzanne Barlyn published an article describing the deficiencies in the public disclosure of background information about securities industry professionals through the BrokerCheck service offered by the Financial Industry Regulatory Authority ("FINRA"). [read post]
16 Jul 2018, 7:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Westpark Capital, Inc. [read post]
6 Dec 2011, 10:18 am
In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a proposal for a new rule, Rule 5123, which would have an impact on the offering of private placements. [read post]
27 Nov 2018, 12:49 pm
The Financial Industry Regulatory Authority (FINRA) is ordering H. [read post]
2 Dec 2016, 11:11 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Victor Lambert (Lambert) currently not registered with any firm, alleging unsuitable investments among other claims. [read post]
1 Oct 2018, 6:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Suhail Khan (Khan), formerly associated with LPL Financial, LLC. [read post]
13 Nov 2018, 12:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jeffrey Schwebach (Schwebach), formerly associated with Independent Financial Group, LLC (Independent Financial) in Dell Rapids, South Dakota was terminated by the firm. [read post]
6 Feb 2017, 7:20 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Dominic DeBruin (DeBruin), formerly associated with LPL Financial, LLC (LPL Financial). [read post]
19 Aug 2021, 11:39 am
Recently, the Financial Industry Regulatory Authority (FINRA) reached a regulatory settlement with Cambridge Investment Research in which the firm was formally censured, fined $400,000, and ordered to pay restitution of $3 million to certain customers who purchased LJM. [read post]
17 Jul 2012, 6:00 am
On July 11, 2012, the Securities and Exchange Commission (SEC) approved a new rule, which will require the national securities exchanges and self-regulatory organizations like the Financial Industry Regulatory Authority (FINRA) to establish a market-wide consolidated audit trail. [read post]
6 Aug 2012, 2:41 pm
District Court for the Eastern District of Virginia said that Citigroup (C) and UBS (UBS)cannot preliminarily enjoin Financial Industry Regulatory Authority arbitration over an auction-rate securities offering that did not succeed. [read post]
21 Dec 2017, 12:09 pm
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Jeanette Adcock (Adcock) has been sanctioned for allegedly not complying with Illinois Securities Law. [read post]
27 Jun 2014, 5:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker-dealer J.P. [read post]
23 Mar 2015, 6:29 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Darnell Deans (Deans) concerning allegations that while associated with Garden State Securities, Inc. [read post]
3 Jun 2021, 1:04 pm
Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers has barred stockbroker James W. [read post]
