Search for: "Financial Industry Regulatory Authority"
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19 Mar 2021, 2:09 pm
FINRA Reportedly Suspends Trevor Rahn After Allegations of Unauthorized Trades, Unsuitable Trading Strategy According to the Financial Industry Regulatory Authority (FINRA) on March 19, the regulator has reportedly suspended former JP Morgan advisor Trevor Rahn for 18 months after allegations that he implemented an unauthorized and unsuitable trading strategy for customer orders. [read post]
19 Mar 2021, 9:13 am
The Financial Industry Regulatory Authority Inc. [read post]
19 Mar 2021, 4:15 am
If you visit the online "Mission" page of the FINRA Investor Education Foundationhttps://www.finrafoundation.org/about-us, you will find this statement:Established in 2003 by the Financial Industry Regulatory Authority, the FINRA Investor Education Foundation empowers underserved Americans with the knowledge, skills and tools to make sound financial decisions throughout life.The Foundation accomplishes this mission through educational programs… [read post]
18 Mar 2021, 1:52 pm
Relativity Trace is used by compliance teams at some of the largest global financial institutions and corporations to proactively detect regulatory misconduct like insider trading, collusion and other non-compliant behavior to help protect against financial and reputational damage. [read post]
18 Mar 2021, 1:10 pm
The Financial Industry Regulatory Authority (FINRA), in cooperation with AARP and Heart+Mind Strategies, recently released a report highlighting the risk of senior investment fraud. [read post]
18 Mar 2021, 10:34 am
The Financial Industry Regulatory Authority (FINRA) reportedly suspended Krohn for three months in May 2018 after he reportedly engaged in outside business activities and purportedly “made personal purchases totaling $7.9 million of private securities away from his member firm without notifying it about those activities or purchases,” according to his broker profile. [read post]
18 Mar 2021, 7:27 am
FINRA Complaint Alleges Broker Kishan Parikh made Unsuitable Investments, Excessive Trades According to public records, the Financial Industry Regulatory Authority (FINRA) has filed a complaint against financial advisor Kishan Parikh (also known as Sean Parikh, CRD #5506554) for allegations of excessive trading and unsuitable recommendations. [read post]
17 Mar 2021, 2:00 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against broker Kishan Parikh, who also goes by the name Sean Parikh. [read post]
17 Mar 2021, 9:51 am
Cambridge Investment Research, a national financial advisory firm headquartered in Fairfield, Iowa, reportedly has 12 disclosure events on its broker record including 8 regulatory events, and 4 arbitrations, according to the Financial Industry Regulatory Authority (FINRA). [read post]
16 Mar 2021, 9:07 pm
Congress responded by stripping the FTC of major authorities over the financial sector, such as rulemaking on mortgages and debt collection. [read post]
16 Mar 2021, 1:09 pm
FINRA Warns of Risks of “Following the Crowd” on Social Media Earlier this year, the Financial Industry Regulatory Authority (FINRA) published an article discussing the risks involved with finding investment-related information on social media. [read post]
Customer Of UBS Brokers Mark Zeller and Scott Rosenberg Awarded Nearly $90K Over YES Strategy Losses
16 Mar 2021, 7:14 am
Florida Arbitration Panel Refuses To Expunge Advisors’ Record of Options Overlay Case In December, a Financial Industry Regulatory Authority (FINRA) arbitration panel in Boca Raton, Florida awarded a UBS Wealth management client and retiree $89,675 in his UBS Yield Enhancement Strategy (YES) claim over significant losses he sustained in the brokerage firm’s options overlay strategy. [read post]
16 Mar 2021, 7:13 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
16 Mar 2021, 7:13 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
15 Mar 2021, 9:42 am
Event Announcements (More details on the Events Calendar) Tuesday, March 16, 2021, at 9:30 a.m.: The Senate Armed Services Committee will hold a hearing on U.S. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
15 Mar 2021, 4:17 am
Developments in technology, the realities of a virtual world, and the pressures of a pandemic world are all trends which will lead to continued regulatory attention in this area. [read post]
12 Mar 2021, 11:31 am
Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Robert Benjamin Caiati ... [read post]
