Search for: "Financial Industry Regulatory Authority"
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10 Mar 2021, 10:58 am
Earlier this year, the Financial Industry Regulatory Authority (“FINRA”) suspended former David Lerner Associates financial advisor, Charles Bonilla, from the securities industry for five months for recommendations of what is believed to be SOAEX and Energy 11. [read post]
10 Mar 2021, 8:30 am
Lincoln, Nebraska Stockbroker Named In Multiple Six-Figure Options Overlay Claims A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1M in their UBS Yield Enhancement Strategy (YES) claim against respondent UBS Financial Services (UBS). [read post]
10 Mar 2021, 6:08 am
According to the public records, Parsons, a former Atlanta Hawks player, filed the claim in arbitration with the Financial Industry Regulatory Authority in January of this year, according to a copy of the Central Registration Depository record for his broker, Darryl M. [read post]
10 Mar 2021, 3:12 am
Being conscious of its regulatory role during the ongoing global health crisis, the Advertising Standards Authority (“ASA”), the UK’s regulator of advertising across all media, aims to act with due regard to the circumstances faced by businesses in the current emergency. [read post]
9 Mar 2021, 2:12 pm
The 2020 lawsuit filings against non-U.S. companies involved companies in a wide variety of industries, with the largest number involving companies in the biotechnology and medical equipment industry (14), followed by software and programming (9), the consumer and financial services industry (7), and the communications services industry (7). [read post]
9 Mar 2021, 8:54 am
Gary Hammond Discharged By Employer For Selling Away And Violation Of Company Policies According to Hammond’s FINRA BrokerCheck Report, published by the Financial Industry Regulatory Authority (FINRA), in April 2017, MML Investors Services terminated Hammond “in connection with an internal review relating to company policy as to the handling of a customer complaint and selling away. [read post]
9 Mar 2021, 7:36 am
Financial challenges industrywide mean fewer resources for the big First Amendment fights. [read post]
8 Mar 2021, 12:19 pm
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
8 Mar 2021, 11:15 am
The sale may also be advertised in newspapers, industry publications, by way of press release, and on the monitor’s website.Initial access to due diligence materials. [read post]
8 Mar 2021, 11:15 am
The sale may also be advertised in newspapers, industry publications, by way of press release, and on the monitor’s website.Initial access to due diligence materials. [read post]
8 Mar 2021, 9:06 am
Experience of working with judicial systems, courts, ombudsman or self-regulatory bodies. [read post]
8 Mar 2021, 7:54 am
FINRA Reportedly Bars Broker Ryan Tarjanyi after Allegations of Misrepresentation related to Variable Annuities Sales According to the Financial Industry Regulatory Authority (FINRA) on March 5, the regulator has barred financial advisor Ryan O. [read post]
8 Mar 2021, 7:54 am
FINRA Reportedly Bars Broker Ryan Tarjanyi after Allegations of Misrepresentation related to Variable Annuities Sales According to the Financial Industry Regulatory Authority (FINRA) on March 5, the regulator has barred financial advisor Ryan O. [read post]
8 Mar 2021, 7:43 am
SSEK Law Firm Is Representing Arkansas Retiree In $500K Customer Dispute The Financial Industry Regulatory Authority (FINRA) has barred ex-LPL Financial stockbroker, Rhett Douglas Bedwell after he refused to provide key documents into the self-regulatory organization’s probe into allegations that he invested funds from a client’s IRA in a Ponzi scheme. [read post]
8 Mar 2021, 6:30 am
To do so, however, the employer must prove that the controlled group is financially unable to support the plan. [read post]
8 Mar 2021, 6:30 am
To do so, however, the employer must prove that the controlled group is financially unable to support the plan. [read post]
7 Mar 2021, 4:58 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Mack Miller (Miller), associated with Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least three customer complaint, one regulatory action, and three judgement or liens during his career. [read post]
6 Mar 2021, 12:22 pm
Last month, this blog reported that broker Scott Wayne Reed (CRD No. 3007033) had been barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) for participating in private securities transactions totaling at least $3.5 million without providing prior written notice to his firm. [read post]
6 Mar 2021, 8:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kevin Dziubela (Dziubela), currently employed by National Securities Corporation (National Securities) has been subject to at least three customer complaints during the course of his career. [read post]
6 Mar 2021, 8:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Bruce Ciallella (Ciallella), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints during the course of his career. [read post]
