Search for: "Financial Industry Regulatory Authority"
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27 Jun 2017, 5:58 am
Pete Lappin suspended by FINRA In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Pete Lappin of Las Vegas, Nevada, a registered representative formerly with MetLife Securities, New England Securities and Wedbush Securities submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member for three months, and ordered to pay restitution to customers. [read post]
13 Jul 2020, 9:09 am
Alternative Asset Firm Gets Federal Aid While Its Investors Fight To Recover Their Losses Even as the US Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the FBI, state regulators and others have continued to investigate GPB Capital Holdings over allegations that it ran an up to $1.8B Ponzi scam, the alternative asset firm and its affiliated companies were able to secure between $3M and $7M in Paycheck Protection Program… [read post]
3 Nov 2011, 11:43 am
The Securities and Exchange Commission announced that it has ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant to evaluate and recommend improvements to FINRA's compliance policies, procedures and staff training regarding the integrity of documents produced to the SEC. [read post]
8 Jul 2014, 3:26 pm
Reuters recently interviewed the CIO of the Financial Industry Regulatory Authority, Steven Randich, who commented on the agency’s ongoing 30-month roll-out of cloud computing. [read post]
5 Apr 2021, 7:01 am
Allegedly Unsuitable Recommendations Caused Senior Investor Loss of Savings A Brunswick, Georgia retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against broker-dealer MML Investors Services, LLC. [read post]
20 Mar 2018, 8:10 am
Credit Suisse Securities has agreed to settle with the Financial Industry Regulatory Authority (FINRA) to the tune of $450,000 in two payments of $200,000 and $250,000. [read post]
1 Mar 2013, 4:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn’t like it so it sued Schwab. [read post]
19 Mar 2010, 7:07 am
Today the Financial Industry Regulatory Authority (FINRA) announced that it has expelled Provident Asset Management, LLC, the affiliate broker-dealer of Provident Shale Royalties that marketed the fraudulent Ponzi scheme private placement investments. [read post]
26 Jun 2017, 12:44 pm
FINRA fines Fenix Securities In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Fenix Securities of New York, NY submitted an acceptance, waiver and consent letter regarding its failure to register foreign associates prior to their placing orders on behalf of customers. [read post]
25 Jan 2021, 7:56 am
Crown Capital Securities Broker Has Four Customer Disputes On Record Lanny Ray Howarter, a Crown Capital Securities registered representative, is named in a more than $624K Financial Industry Regulatory Authority (FINRA) arbitration claim accusing him of unsuitability, negligence, breach of fiduciary duty, omissions, and negligence involving alternative investment products. [read post]
1 Nov 2017, 7:34 pm
In June 2017, the Financial Industry Regulatory Authority (FINRA) announced that Coastal Equities Inc. of Wilmington, Delaware, submitted an acceptance, waiver and consent letter, or AWC, regarding its failure to supervise firm sales of non-traditional ETFs, or exchange-traded funds. [read post]
28 May 2010, 10:28 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]
20 Sep 2024, 6:46 pm
FINRA Arbitration Panel Awards GWG Investors Over $800K in Damages Ruling Shows Why It Is So Important for Those Who Suffered L Bond Losses To Consider Filing Broker Fraud Claims A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded investors damages in their GWG L Bond loss recovery claim against a broker-dealer. [read post]
23 Jul 2020, 8:30 am
"Federal Regulatory Authority prudential rulemaking. [read post]
18 Mar 2022, 11:26 am
Cetera Broker-Dealer Unsuitably Recommended Non-Traded REITs to Retired Couple Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm at investorlawyers.com) and Menzer & Hill, PA, are pleased to announce that a Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded our clients a $2.6M award against First Allied Securities. [read post]
14 Jul 2011, 8:43 pm
A Financial Industry Regulatory Authority arbitration panel issued the order which found the respondent liable. [read post]
23 Oct 2017, 8:16 am
On October 16, 2017, The Financial Industry National Regulatory Authority (“FINRA”) announced a $3.4 million dollar fine against Wells Fargo, in connection to Wells Fargo brokers improperly placing retail clients in volatility linked products. [read post]
7 Oct 2019, 6:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Shadie concerns allegations over variable annuity sales practices. [read post]
20 Sep 2017, 6:25 am
The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority against broker Ann Comcowich (Comcowich). [read post]
7 Jun 2018, 12:02 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator’s new public records disclosure review process will begin on July 9 with financial advisor background checks. [read post]
