Search for: "Financial Industry Regulatory Authority"
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6 Mar 2014, 10:54 am
” This echoes recent statements from the Financial Industry Regulatory Authority in a January 2014 Targeted Examination Letter on Cybersecurity, and the SEC’s announcement that it will conduct a round table later this month on cybersecurity issues. [read post]
21 Jun 2019, 12:21 pm
Former Cetera Broker Allegedly Engaged in Outside Business Activities The Financial Industry Regulatory Authority (FINRA) announced that it is barring Nina Jessee, a former Cetera Advisors broker. [read post]
25 Aug 2022, 8:41 am
Update on Investigation: FINRA reportedly bars James Dunn after 22 Customer Complaints According to public records, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor James William Dunn Jr. [read post]
23 Dec 2014, 9:33 am
Read this recent case analysis by Bill Singer for details about this dispute.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, Claimant Schonhorst asserted libel and slander on his Uniform Termination Notice for Securities Industry Registration ("Form U5") and wrongful termination. [read post]
5 Feb 2018, 2:58 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim file... [read post]
8 Jan 2018, 3:13 am
For those who say that you can't beat your former employer, consider today's featured FINRA intra-industry arbitration.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2015 and as amended thereafter, Claimant Hunnewell asserted violation of Rule 2010; wrongful termination; defamation; unjust enrichment; breach of fiduciary duty; and discrimination based on age in… [read post]
30 Apr 2013, 8:28 am
This BrokeAndBroker Blog offers an interesting comparison of two similar Financial Industry Regulatory Authority ("FINRA") intra-industry arbitrations involving the same Claimant/Employer Lehman Brothers seeking collection of promissory notes against former employees. [read post]
14 Aug 2018, 12:26 pm
Open Letter to the Financial Industry Regulatory Authority'sPresident and Chief Executive Officer Robert Cook, Chairman of the Board Bill Heyman, and Board of GovernorsOn August 14, 2018, the BrokeAndBroker.com Blog published "Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA" (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/4133/finra-dissent-hasko/, which analyzed the… [read post]
20 Oct 2015, 6:38 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Russell Macke (Macke) has been the subject of at least 5 customer complaints, 2 regulatory actions, and 2 employment terminations, and 7 judgment or liens. [read post]
8 Oct 2009, 9:34 am
With the one-year anniversary of the legislation authorizing the $700 billion banking system bailout approaching, Congress is gearing up to legislate major regulatory reform, reports Albert Bozzo of CNBC.com in his article, "Financial Reform Package Picking Up Steam in Congress. [read post]
19 Aug 2009, 10:47 am
The Financial Industry Regulatory Authority ("FINRA"), the regulator of broker-dealers and protector of investors, allegedly failed to investigate the sworn testimony of a former Stanford broker, in 2003, that the Stanford Financial Group, a FINRA broker-dealer, was "engaged in a Ponzi scheme to defraud its clients," according to recent articles by Reuters, published by the New York Times, and Scott Cohn, posted on CNBC.com. [read post]
30 May 2010, 8:23 am
Behringer Harvard REIT I, Inland America Real Estate Trust, Inland Western Retail Real Estate Trust, Wells Real Estate Investment Trust II and Piedmont Office Realty Trust are non-traded real estate investment trusts, or REITs - an industry that has garnered new interest from the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jun 2018, 6:41 am
Public records with the Financial Industry Regulatory Authority (FINRA) state that Troy, Michigan-based LM Kohn & Company broker Dainforth French has resolved or pending customer complaints within the industry. [read post]
19 Apr 2018, 7:36 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), a customer alleged in February 2018 that Pronovost engaged in unsuitable investments. [read post]
15 May 2023, 8:24 am
The Financial Industry Regulatory Authority (FINRA) has fined and suspended a former Cetera Advisors broker in Tucson, Arizona for failing to invest his customers’ funds in a way that would have qualified for mutual fund breakpoint discounts, according to a settlement finalized on Thursday and as reported on Advisor Hub and broker check. [read post]
23 Jun 2021, 7:28 am
Non-Traded REIT Seeks To Restructure $1.3B in Unsecured Debt If you are an investor whose broker recommended that you invest in Hospitality Investors Trust (HIT), you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover damages. [read post]
11 Jan 2011, 8:44 pm
In a related matter, the Financial Industry Regulatory Authority (FINRA) entered into an agreement with Schwab for the payment of $18 million to investors that will also be included in the Fair Fund. [read post]
31 Oct 2022, 8:00 am
Per the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), three of the most common investment fraud tactics employed by scammers in the United States are known as the “phantom riches” tactic, the “source credibility” tactic, and the “social consensus” tactic. [1] Each tactic essentially functions by allowing the fraudster to build a false narrative surrounding their supposed… [read post]
11 Jan 2013, 6:07 am
TweetYesterday the Financial Industry Regulatory Authority (FINRA) announced that it would begin accepting information on a voluntary basis from prospective crowdfunding portals. [read post]
20 Dec 2023, 11:58 am
On December 18, 2023, Bruce Kelly of Investment News writes about Philly broker Austin Dutton and his recent woes, which include a Wells Notice issued by the Financial Industry Regulatory Authority. [read post]
