Search for: "Financial Industry Regulatory Authority"
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7 May 2020, 6:59 am
Financial Advisor Bryan Benson, Wells Fargo Clearing Services, Tucson, AZ Bryan Benson Reportedly Barred after Failure to Provide Testimony in FINRA’s Investigation According to the Financial Industry Regulatory Authority (FINRA, the regulator has reportedly barred broker Bryan Benson after he refused to provide information for its investigation into a customer complaint. [read post]
16 Nov 2017, 3:48 pm
As recently reported, the Financial Industry Regulatory Authority (“FINRA”) barred broker John Phillip Correnti (CRD# 5319471) in light of his failure to provide testimony and documents in connection with an investigation into potential violations of applicable securities industry rules. [read post]
4 Dec 2011, 4:46 pm
The North American Securities Administrators Association (NASAA) recently suggested several ways in which the Financial Industry Regulatory Authority (FINRA) could enhance investor protection by improving the disclosure by FINRA member firms in private placements of securities. [read post]
2 Feb 2023, 7:02 pm
Filing A FINRA Lawsuit With the Help of Skilled Broker Fraud Lawsuit Attorneys If you suffered investment losses that you believe were caused by the wrongful or negligent actions of your financial advisor, you may be able to pursue damages from them through Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
28 Mar 2024, 10:36 am
Juan Carlos Sosa Allegedly Converted Customer’s Funds According to a letter of acceptance on March 19, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former SagePoint Financial advisor Juan Carlos Sosa (CRD#: 4059846) from associating with any FINRA member at any time. [read post]
31 Dec 2020, 9:03 pm
Environmental Protection Agency (EPA) Administrator Andrew Wheeler defended the move by stating that the “final rule puts in place a sensible one national program that strikes the right regulatory balance that protects our environment, and sets reasonable targets for the auto industry. [read post]
22 Feb 2019, 12:44 pm
Spach, Kestra Investment Services, Barred According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former Kestra financial advisor John W. [read post]
19 Oct 2011, 5:01 am
Financial Industry Regulatory Authority, 2011 U.S. [read post]
4 Mar 2015, 2:00 pm
This issue has received recent attention by Financial Industry Regulatory Authority (“FINRA”) enforcement, as well as by the SEC’s Office of Compliance Inspections and Examinations. [read post]
10 Jul 2018, 9:12 am
Voya may be held liable for alternative investment losses in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
25 May 2021, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Timothy O’Brien (O’Brien), formerly employed by Feltl & Company has been subject to numerous disclosures including at least six customer complaints, two criminal matters, four judgement or tax liens, and regulatory complaints during the course of his career. [read post]
28 Mar 2023, 8:53 am
The Customer Account Information Rule – FINRA Rule 4512 was created by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Nov 2014, 6:08 am
According to a recent report, the Financial Industry Regulatory Authority (FINRA) has decided it cannot force firms to carry insurance for payment of awards granted by arbitration panels on behalf of investors who have lost money. [read post]
22 Jun 2017, 2:55 pm
The Financial Industry Regulatory Authority is ordering Wells Fargo Securities (WFC) to pay a $3.25M fine for inaccuracies and mistakes in its reporting for over-the-counter trades that took place between January 2008 and March 2017. [read post]
1 Sep 2021, 1:38 pm
The filing also discloses that the SEC and Financial Industry Regulatory Authority (“FINRA”) are investigating whether any Robinhood employees traded “meme stocks,” including GameStop Corp. and AMC Entertainment Holdings, Inc., before the public announcement that Robinhood would impose trading restrictions on those securities on January 28, 2021. [read post]
5 Jun 2012, 3:13 pm
As a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Government Accountability Office (GAO), a non-partisan investigative agency of Congress, conducted a study which criticized the Securities and Exchange Commission's (SEC) oversight of the Financial Industry Regulatory Authority (FINRA). [read post]
17 Feb 2021, 10:26 am
To help clients navigate this new regulatory authority, Ballard Spahr’s nationally recognized Consumer Financial Services Group has created a California “Mini-CFPB” team. [read post]
23 Sep 2013, 12:21 pm
The Financial Industry Regulatory Authority (FINRA), VSR Financial Services, Inc. [read post]
15 Sep 2014, 7:02 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm The Oak Ridge Financial Services Group, lnc. [read post]
11 Apr 2014, 6:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Marylin T. [read post]
