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31 Jul 2015, 2:58 pm
According to a recent Acceptance, Waiver & Consent (“AWC”) submitted by broker Brian Berger with the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
16 Nov 2023, 6:28 am
Recently, Traderfield Securities Inc. and its principal, Mario Divita, found themselves at the center of regulatory scrutiny by the Financial Industry Regulatory Authority (FINRA). [read post]
25 Jan 2012, 8:51 am
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Oppenheimer & Co., Inc. [read post]
20 Jul 2021, 8:13 am
The Financial Industry Regulatory Authority (FINRA) has censured and fined Wilson-Davis, a self-clearing broker-dealer that specializes in microcap liquidation and trading, according to a letter of acceptance waiver and consent on July 16. [read post]
22 Dec 2009, 9:37 am
Pacific Cornerstone Capital, Inc. of Irvine, California, and it's CEO were fined a total of $750,000 by the Financial Industry Regulatory Authority (FINRA) for making false and misleading statements to purchasers of Cornerstone Industrial Properties LLC and CIP Leveraged Fund Advisors LLC. [read post]
9 Jun 2023, 12:05 pm
The Financial Industry Regulatory Authority Inc. on Thursday fined TD Ameritrade Clearing Inc. $500,000 for failing to disclose fully information about callable securities, including exchange-traded notes and preferred securities, to millions of customers over five years, according to Finra. [read post]
11 Jun 2023, 1:38 am
The Financial Industry Regulatory Authority Inc. last week penalized another broker-dealer, Coastal Equities Inc., over sales in 2018 of private placement managed by GPB Capital Holdings. [read post]
3 Jun 2023, 5:22 pm
A unanimous three-person Financial Industry Regulatory Authority Inc. arbitration panel ordered Oppenheimer to pay $1,483,670 in compensatory damages to two investors, Bruce Cullen Sr. and Rosemarie Cullen, according to the March 2 [...] [read post]
4 Jun 2023, 12:35 pm
Oppenheimer lost the huge arbitration decision, decided by a Financial Industry Regulatory Authority Inc. panel, in September, to eight investors who were [...] [read post]
9 Jun 2023, 8:07 pm
A three-person Financial Industry Regulatory Authority Inc. arbitration panel in Boca Raton, Florida found the firm and former [...] [read post]
6 Jun 2023, 5:31 pm
Inc., which lost a stunning $36 million claim last week to investors, said that the Financial Industry Regulatory Authority Inc. three-person panel erred in several ways in making its decision. [read post]
13 Jun 2023, 11:42 am
The Financial Industry Regulatory Authority Inc. last week fined Charles Schwab & Co. [read post]
7 Jun 2023, 5:58 pm
The Financial Industry Regulatory Authority Inc. is investigating Daniel T. [read post]
31 Jul 2018, 2:13 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Joseph Pratte (Pratte), formerly associated with Signator Investors, Inc. [read post]
9 Jul 2021, 9:58 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Ronald Giovino from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
14 Nov 2018, 1:35 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stephen Murray (Murray) has been subject to seven customer complaints, two financial disclosures or tax liens, and one regulatory action. [read post]
4 May 2011, 7:15 pm
For claims filed on or after May 16, 2011, the Financial Industry Regulatory Authority, Inc., (“FINRA”) has revised its Discovery Guide to provide additional guidance to parties and arbitration panels and FINRA reorganizes the Document Production Lists. [read post]
23 Nov 2015, 6:13 am
The attorneys at Gana LLP are interested in speaking with investors of broker Mark Hughes (Hughes) According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Hughes has been the subject of at least 7 customer complaints, and 1 regulatory action over the course of his career. [read post]
5 Jun 2023, 5:50 am
The Financial Industry Regulatory Authority Inc. alleged that Todd Anthony Cirella and Edward Scott Short traded in senior customers’ accounts at a level that was “excessive, unsuitable, [...] [read post]
11 Jun 2023, 12:48 am
The Financial Industry Regulatory Authority Inc. last year penalized 15 broker-dealers a total of $3.7 million for sales of GPB Capital Holdings private placements dating back to the spring of 2018. [read post]
