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7 Nov 2021, 7:09 am
There's Something Happening Here (at a FINRA Arbitration ) But What It Is Ain't Exactly Clear (BrokeAndBroker.com Blog)Florida Attorney Pleads Guilty To Securities Fraud In Connection With Fraudulent Opinion Letter Scheme (DOJ Release)Corsica Man Sentenced for Wire Fraud and Money Laundering in a Multi-Million Dollar Cattle Ponzi Scheme (DOJ Release)Rochester Man Going To Prison And Ordered To Pay Millions In Restitution For His Role In Ponzi Scheme That Bilked Investors Out Of… [read post]
7 Nov 2021, 7:09 am
As to what exactly was in dispute, oddly, that remains a mystery despite a somewhat detailed FINRA Arbitration Award. [read post]
7 Nov 2021, 7:09 am
As to what exactly was in dispute, oddly, that remains a mystery despite a somewhat detailed FINRA Arbitration Award. [read post]
7 Nov 2021, 7:09 am
FINRA Takes Victory Lapse in Aegis Capital Regulatory Settlement (BrokeAndBroker.com Blog)Management Consulting Firm Partner Charged In Insider Trading Scheme / Defendant Was a Lead Consulting Firm Partner Advising an Investment Bank on Its Acquisition of GreenSky, Inc. [read post]
7 Nov 2021, 7:09 am
Putting a price-tag on violations of FINRA rules is not regulating. [read post]
6 Nov 2021, 7:26 am
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
5 Nov 2021, 11:36 am
FINRA has suspended former LPL Financial LLC broker Michael Miles Hartlett from the securities industry for ten business days. [read post]
5 Nov 2021, 10:22 am
FINRA has barred former BB&T Securities, LLC broker Glenn Brandon, Jr. from the securities industry. [read post]
5 Nov 2021, 10:11 am
FINRA has barred former AXA Advisors, LLC broker Edgar Kleydman from the securities industry. [read post]
5 Nov 2021, 12:59 am
As stated in an email to FINRA staff, Shafer acknowledges that he received the request and he will not appear for on-the-record testimony at any time, in violation of FINRA Rules. [read post]
5 Nov 2021, 12:59 am
As stated in an email to FINRA staff, Shafer acknowledges that he received the request and he will not appear for on-the-record testimony at any time, in violation of FINRA Rules. [read post]
5 Nov 2021, 12:59 am
As stated in an email to FINRA staff, Shafer acknowledges that he received the request and he will not appear for on-the-record testimony at any time, in violation of FINRA Rules. [read post]
4 Nov 2021, 1:29 pm
Continue Reading › The post FINRA Bars Ex-Wells Fargo Broker James Seijas Who Is Accused In More Than $33M Ponzi Scam appeared first on Investor Lawyers Blog. [read post]
3 Nov 2021, 12:34 pm
FINRA Suspends & Fines Broker Brian Pearce after Allegations of Selling Away According to public disclosures from the Financial Industry Regulatory Industry (FINRA), the regulator has suspended financial advisor Brian Stanley Pearce (CRD # 1334784) from the securities industry for allegations of private securities transactions also known as “selling away. [read post]
3 Nov 2021, 11:43 am
A separate FINRA panel awarded Houston investor Daniel Ferber the full $358,000 in damages he had sought, but denied his requests for interest and fees and costs. [read post]
3 Nov 2021, 8:09 am
FINRA Suspends New York-Based Financial Advisor for Nine Months John Sebastion Cangialosi, currently an SW Financial broker, was suspended by the Financial Industry Regulatory Authority (FINRA) in September 2021 for nine months. [read post]
3 Nov 2021, 8:07 am
FINRA Bars James Seijas after Allegations involving Q3 Trading Club Ponzi Scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Seijas (CRD#: 2392901) when he failed to provide information in its investigation after Seijas was “named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a Ponzi scheme. [read post]
3 Nov 2021, 7:46 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
3 Nov 2021, 7:14 am
According to the reports from Finra, it finalized its sanctions against Merrill, and accepted a settlement letter from a 30-year Merrill veteran in Chattanooga, Tennessee, and another from a 35-year industry veteran in Charlotte, North Carolina. [read post]
3 Nov 2021, 6:40 am
The SEC collected a record $4.7 billion in fines in 2020, and FINRA enforcement cases increased across the board.1 International data privacy and data residency requirements are also becoming more complex, with new guidelines being implemented in many parts of the world. [read post]
