Search for: "Financial Industry Regulatory Authority"
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10 Apr 2008, 7:26 am
The SEC and the Financial Industry Regulatory Authority (FINRA) have begun looking into how brokers sold these products. [read post]
15 Jul 2015, 6:14 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker Leonard Tanner (Tanner) concerning allegations between October 2010, and January 2014, Tanner executed discretionary transactions in approximately 90 accounts of customers under a verbal authorization but without prior written authorization from those customers or approval of his brokerage firm City Securities Corporation (City Securities). [read post]
18 May 2015, 7:03 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker John Miller (Miller) concerning allegations between October 2010, and January 2014, Miller executed discretionary transactions in approximately 90 accounts of customers under a verbal authorization but without prior written authorization from those customers or approval of his brokerage firm City Securities Corporation (City Securities). [read post]
30 Jul 2019, 12:05 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
18 Jun 2019, 4:48 pm
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), Block has been subject to at least 12 customer complaints and five regulatory actions during his career. [read post]
23 Aug 2021, 10:48 am
FINRA Bars Broker Jeffrey Anderson after Allegations of Stealing from Elderly Client According to the Financial Industry Regulatory Authority (FINRA) on August 2, the regulator has barred financial advisor Jeffrey Scott Anderson (CRD # 5993214) of Bloomington, IL, after allegations of stealing $26,600 from a customer. [read post]
2 Nov 2015, 6:31 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Stapleton (Stapleton) has been the subject of at least 2 customer complaints, 1 regulatory action, and 6 judgements or liens. [read post]
1 Feb 2016, 2:22 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Marat (a/k/a Matt) Zeltser (Zeltser). [read post]
17 Nov 2015, 7:13 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Galinsky (Galinsky) has been the subject of at least 4 customer complaints, 2 regulatory actions, 2 employment separations for cause, and two criminal matters. [read post]
26 Jul 2016, 9:42 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Neal Scott (Scott). [read post]
29 Oct 2015, 4:34 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Craig Taddonio (Taddonio) has been the subject of at least three customer complaints, three judgements or liens, and one regulatory investigation. [read post]
14 Sep 2016, 1:05 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Christopher Cowans (Cowans). [read post]
12 Feb 2016, 10:15 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) and the agency’s complaint against broker Eric Kuchel (Kuchel). [read post]
19 Jan 2016, 9:27 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2014042302001) against Vaccarelli. [read post]
24 Oct 2014, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) barred broker Joseph Pappalardo (Pappalardo) concerning allegations that between August 2008, and August 2012, Pappalardo, while associated with Financial Network Investment Corporation (n/k/a Cetera Advisor Network LLC), made fraudulent and misleading misrepresentations to a customer in the sale of private securities, converted customer funds for his personal use, engaged in private securities… [read post]
26 Dec 2018, 9:30 pm
The Regulatory Review is pleased to highlight the top fifty pieces of 2018 authored by its staff contributors. [read post]
18 Jun 2015, 6:03 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined National Securities Corporation (NSC) while alleging that in 2013, NSC acted as the exclusive placement agent for two private placements of its parent company, National Holdings Corporation (National Holdings). [read post]
24 Dec 2008, 1:38 am
This month, the Financial Industry Regulatory Authority introduced a special arbitration procedure that auction-rate securities investors can avail of to recover consequential damages. [read post]
14 May 2019, 10:25 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mohamed Yassin (Yassin) has been subject to at least two customer complaints, one employment termination for cause, and two regulatory matters during his career. [read post]
1 Dec 2020, 11:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Martin Noonan Jr. [read post]
