Search for: "Financial Industry Regulatory Authority"
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3 Jun 2009, 4:21 pm
The Financial Industry Regulatory Authority says that RD Capital Group, based in Puerto Rico, and its president Ramon Luis Dominguez have agreed to pay $950,000 in restitution plus interest to three clients over fraudulent and excessive markups involving the sale of U.S. [read post]
22 Nov 2019, 5:09 am
Summit Investment Management To Pay Investor $100K A Financial Industry Regulatory Authority (FINRA) panel said that Summit Investment Management and portfolio manager, Thomas Carroll, must pay one firm client $100K for investing his money in funds from the investment manager, LJM Partners, which is no longer in operation. [read post]
28 Aug 2012, 1:34 pm
We learn from this week’s DealFlow Report that the parent company of Rodman & Renshaw, now called Direct Markets Holdings, ended its agreement to buy key assets of the OTC Bulletin Board from the Financial Industry Regulatory Authority (FINRA). [read post]
29 Jun 2020, 12:16 pm
COVID-19 Causes This Mortgage REIT to Drop in Value If you lost money from investing in Granite Point Mortgage Trust (GPMT), you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker and their brokerage firm that sold this real estate investment trust (REIT) to you. [read post]
5 Jul 2022, 8:00 am
Broker-Dealer Ordered to Pay Customers More Than $625K in Restitution The Financial Industry Regulatory Authority (FINRA) sanctioned National Securities Corporation for about $9M, including $4.77M disgorgement in net profits. [read post]
21 May 2015, 2:15 pm
The Financial Industry Regulatory Authority’s (FINRA’s) National Adjudicatory Council (NAC) released updated Sanction Guidelines on May 12, 2015, for use in adjudicating disciplinary proceedings involving FINRA member firms and associated brokers. [read post]
29 Jun 2023, 7:46 pm
FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers The Financial Industry Regulatory Authority (FINRA) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to millions of customers over a period of five years. [read post]
28 May 2010, 9:28 am
Thomas Weisel Partners LLC based in San Francisco, California, was named in a securities fraud lawsuit filed by the Financial Industry Regulatory Authority (FINRA) alleging that the firm and the head of its fixed income desk, Stephen Henry Brinck Jr., sold $15.7 million worth of auction rate securities (ARS) to customers out of the firm's own accounts without their customers' knowledge or consent. [read post]
15 Dec 2020, 6:59 am
Senior Investor Seeks up to $500K in Damages For Loss of Savings A retiree from Texas has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Calton & Associates over losses he suffered in GPB Capital Holdings private placements and other non-publicly traded products. [read post]
30 Jan 2018, 8:52 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Huntleigh Securities Corporation violated securities laws. [read post]
7 Nov 2022, 8:00 am
The Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have identified five of the most common techniques used in committing investment fraud. [1] More information on the first three of these tactics – the “phantom riches” tactic, the “social consensus” tactic, and the “credibility” tactic – and how investors can avoid them can be found in Part One of this two-part… [read post]
7 Dec 2020, 7:43 am
Coastal Equities Has Been The Subject of $3M in Investor Arbitration Claims Coastal Equities, a mid-sized broker-dealer, recently arrived at a settlement with the Financial Industry Regulatory Authority (FINRA) in which it agreed to give $280K in restitution to several customers. [read post]
24 Nov 2020, 2:22 am
New York Stockbroker is Named in Multiple Customer Disputes If you suffered substantial losses from investments recommended to you by Spartan Capital Securities broker Joseph Kelly, you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover your losses. [read post]
23 Feb 2021, 7:43 am
Ex-New York Stockbroker Named In Multiple Customer Disputes Apostolos Nicolas Pitsironis, a former-Janney Montgomery Scott registered representative who was barred by the Financial Industry Regulatory Authority (FINRA) in 2019 for allegedly defrauding investors, was arrested on February 10 in Dix Hills, New York in a parallel criminal fraud case. [read post]
22 Sep 2022, 12:25 pm
Customers Who Are The Victims of Churning May Be Able To Recover Damages The Financial Industry Regulatory Authority (FINRA) has ordered Joseph Stone Capital and a number of its registered representatives to pay $1M in restitution for allegedly excessively trading in customers’ accounts. [read post]
26 Jun 2017, 9:47 am
In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Houlihan Capital of Chicago, IL submitted an acceptance, waiver and consent letter regarding its participation in a five million dollar private placement of securities. [read post]
1 Mar 2022, 3:16 pm
According to Advisor Hub, the Financial Industry Regulatory Authority has censured and imposed a $950,000 fine on Merrill Lynch Wealth Management for allegations that they engaged in ignoring flaws in its fraud detection systems allowed for two of their brokers to steal $6 million from clients. [read post]
22 Feb 2012, 2:58 am
In a Financial Industry Regulatory Authority (? [read post]
1 Mar 2022, 3:44 pm
The Financial Industry Regulatory Authority hired an “independent” law firm to conduct a review of its arbitrator selection procedures after a Judge rebukes FIRNA in an order vacating a Wells Fargo award in a controversial case, according to FINRA. [read post]
20 Dec 2017, 7:00 am
The Financial Industry Regulatory Authority (FINRA), censured and fined CFD Investments $30,000 for allegedly failing to establish, maintain and enforce a reasonable supervisory system designed to ensure the review of its representatives’ sales of leveraged and inverse exchange-traded funds (non-traditional ETFs). [read post]
