Search for: "Financial Industry Regulatory Authority"
Results 2561 - 2580
of 11,225
Sorted by Relevance
|
Sort by Date
25 Jun 2020, 8:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker David Weisberg (Weisberg), formerly associated with Worden Capital Management LLC (Worden Capital), has been subject to at least four customer complaints and one regulatory action during his career. [read post]
5 Aug 2009, 6:05 am
The Financial Industry Regulatory Authority (FINRA), a self-regulatory organization under the Securities and Exchange Act of 1934, recently issued a release stating that it views variable life settlements as raising distinct issues and concerns because the transactions are "directed almost exclusively toward senior investors who, concerned about current economic conditions and retirement, may consider selling their variable life insurance policies… [read post]
8 Sep 2023, 9:44 am
FINRA is the primary regulatory authority overseeing the securities industry in the United States. [read post]
24 Jul 2009, 11:35 am
Broker-dealers affiliated with Wells Fargo and Washington Mutual, two large banks with close ties to the San Francisco Bay Area, have entered into a settlement with the Financial Industry Regulatory Authority (FINRA) agreeing to pay fines of $275,000 and $250,000, respectively, and consenting to the entry of findings regarding their inadequate supervision of variable annuity, mutual fund and unit investment trust (UIT) transactions with customers. [read post]
8 Apr 2011, 10:35 am
Top executives of various broker/dealers that sold private placements in Medical Capital Holdings and Provident Royalties have been fined and sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
24 Sep 2015, 9:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Scott Sibley (Sibley) has been hit with a large number of customer complaints. [read post]
20 Oct 2021, 7:35 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it is investigating unnamed special purpose acquisition companies (SPACs) and their affiliates for possible securities law violations. [read post]
14 Sep 2011, 10:58 am
Further, industry called for any regulatory actions to be performed with strict Congressional oversight, preserving a strong government role in the financial sector for the foreseeable future. [read post]
20 Apr 2018, 10:44 am
Investigating Potential Claims involving Tezos According to the Financial Industry Regulatory Authority (FINRA) on Wednesday, the regulator has reportedly suspended former financial advisor Arthur Breitman (aka Arthur Meunier) from the securities industry for two years for alleged outside business activities involving Tezos, a blockchain technology. [read post]
5 Sep 2018, 11:44 am
– Investigation According to the Financial Industry Regulatory Authority (FINRA) on August 23, financial advisor Robert S. [read post]
6 Oct 2017, 1:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor James Lyons (Lyons), has been subject to five customer complaints and one employment terminations for cause. [read post]
25 Apr 2011, 7:50 am
The Financial Industry Regulatory Authority (FINRA) has suspended Pinnacle Partners Financial Corporation, of San Antonio, TX, and its President, Brian K. [read post]
21 Oct 2016, 7:40 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against William Byrd (Byrd) alleging unsuitable investments, negligence, and breach of fiduciary duty among other claims. [read post]
26 Jan 2016, 6:05 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
14 May 2017, 5:27 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) against broker Richard Cody (Cody) that involves potentially millions in either stolen client funds or misrepresentations concerning the state of their accounts. [read post]
28 Dec 2023, 9:05 pm
In lieu of our regular Friday feature—”the Week in Review”—The Regulatory Review is today recapping some of the top regulatory news from the past year, including major U.S. [read post]
17 Aug 2020, 4:00 am
Martin of Glorieta, New Mexico submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in unauthorized transaction in violation of NASD Rule 2510 and FINRA Rule 2010. [read post]
17 Jul 2018, 6:27 am
Likewise it addresses the work of supervisory and regulatory authorities including their tools and instruments of regulation in light of technological progress. [read post]
10 Aug 2015, 7:03 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Judith Woodhouse (Woodhouse) has been barred for failing to respond to requests for information by the agency. [read post]
7 Oct 2019, 8:53 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended James M. [read post]
