Search for: "Financial Industry Regulatory Authority"
Results 241 - 260
of 11,165
Sorted by Relevance
|
Sort by Date
7 Jan 2020, 8:48 am
Mantei’s Regulatory Issues Mantei was named a respondent in a Financial Industry Regulatory Authority (FINRA) complaint alleging that he violated FINRA Rules and circumvented his own firm’s supervisory system while recommending and selling structured certificates of deposit (structured CDs). [read post]
12 Jun 2012, 6:39 am
In Regulatory Notice 12-05, the Financial Industry Regulatory Authority (FINRA) noted an increasing number of reports of customer funds stolen due to e-mail instructions received from compromised customer e-mail accounts. [read post]
19 Oct 2020, 9:11 am
The webinar examined the potential implications for the consumer financial services industry should Joe Biden win the Presidency and Democrats win control of the Senate while retaining control of the House. [read post]
9 May 2012, 6:25 am
Another large group in the financial service industry has come forward to oppose authorizing the Federal Industry Regulatory Authority (FINRA) to become the self regulatory organization (SRO) for investment advisers. [read post]
2 Nov 2016, 4:49 am
This article was originally posted on Stock Market Loss The Financial Industry Regulatory Authority (FINRA) announced on October 20, 2016 that it is seeking SEC approval of proposed rules to help prevent the financial exploitation of seniors and other vulnerable adults. [read post]
16 Mar 2023, 11:22 am
FINRA Bars David Shane Simmons from the Securities Industry According to public documents, the Financial Industry Regulatory Authority (FINRA) has barred broker David Shane Simmons (CRD#: 4655479) from associating with any FINRA member at any time. [read post]
5 May 2021, 9:05 pm
The Financial Industry Regulatory Authority (FINRA) is building a taxonomy of its rules that enable electronic tagging, allowing computers to read requirements and track updates. [read post]
5 Jul 2018, 9:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in January 2018, advisor Larry Boggs (Boggs) was barred indefinitely from the financial industry by FINRA concerning allegations that he engaged in unsuitable investments, excessive trading and unauthorized transactions. [read post]
7 Sep 2020, 12:30 am
Senior Investor’s Loses Retirement Funds Because of Unsuitable Investment An Arkansas retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial for losses he suffered because of the unsuitable recommendation of Rhett Douglas Bedwell, one of the broker-dealer’s former registered representatives. [read post]
27 Jul 2021, 7:17 am
Older Couple’s Broker Overconcentrated More Than $2.2M of Their Funds in Now Defunct Investment An older retired couple from South America is pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates, Inc. after they suffered a seven-figure loss in Northstar Financial Services (Bermuda). [read post]
27 Oct 2021, 7:03 am
Couple’s FINRA Arbitration Claim Seeks Up to $500K in Damages A retired couple from Payson, Utah have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Woodbury Financial Services over losses they sustained while investing in GPB Capital Holdings LLC, CIM REIT, and other privately traded entities. [read post]
18 Feb 2020, 5:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Arford’s customer complaints alleges that Arford recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
29 May 2012, 12:15 pm
While many investment advisers first panned a bill that would give broader authority to the Financial Industry Regulatory Authority, the plan is gaining traction in some parts of the financial world. [read post]
3 Dec 2017, 9:38 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Valentine has been accused by FINRA of failing to have supervisory procedures for due diligence on private placement offerings. [read post]
23 Apr 2015, 11:46 am
EDI Financial, Inc. in Irving, Texas has been censured and fined $100,000 by the Financial Industry Regulatory Authority, according to a recent report issued by FINRA. [read post]
24 Oct 2018, 11:59 am
The Financial Industry Regulatory Authority (FINRA) suspended his securities license and barred him from conducting business in the industry. [read post]
15 Jun 2011, 7:11 am
In one of the largest dollar awards to date in a Lehman note case against UBS Financial Services Inc., a Financial Industry Regulatory Authority (FINRA) arbitration panel [read post]
28 Mar 2023, 9:03 am
The Financial Industry Regulatory Authority (FINRA) is a self-regulator authorized by the United States Congress to oversee broker-dealer firms and protect investors. [read post]
6 Aug 2018, 2:24 pm
On July 30, 2018, the Financial Industry Regulatory Authority (“FINRA“) published a Special Notice, in response to requests from the public, “seeking comments on how FINRA can support fintech development consistent with [its] mission. [read post]
12 Jul 2016, 7:27 am
Delfino had been employed and registered with Ameriprise Financial Services, Inc., a broker-dealer, from October 2009 to November 2015, according to her publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority. [read post]
