Search for: "Financial Industry Regulatory Authority"
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29 Jul 2015, 2:53 pm
According to a Letter of Acceptance Waiver and Consent filed with the Financial Industry Regulatory Authority (“FINRA”), Thomas Buck has been barred by FINRA from working with any FINRA member firms. [read post]
5 Oct 2015, 6:55 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Todd Henrich (Henrich) has been hit with a couple customer complaints this year. [read post]
12 Dec 2019, 7:44 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Alan Appelbaum (Appelbaum), currently associated with Aegis Capital Corp. [read post]
4 Sep 2016, 7:51 am
The investment fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Lizabeth Ty (Ty). [read post]
16 Dec 2019, 7:31 am
According to BrokerCheck records, Stokes is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm LPL Financial LLC (LPL Financial). [read post]
23 Nov 2015, 3:15 pm
– will be taking back some of the regulatory responsibilities it yielded to the Financial Industry Regulatory Authority (“FINRA”), starting in 2007 when the NYSE and National Association of Securities Dealers (“NASD”) merged their self-regulatory functions. [read post]
3 Jan 2019, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Reznik concern allegations of unsuitable investments and allegations of overconcentration involving equities and options. [read post]
3 Feb 2019, 9:45 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Reznik’s customer complaints allege that Reznik made unsuitable recommendations by concentrating investors in a particular sector, possibly energy. [read post]
30 Apr 2019, 1:28 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Leavitt’s customer complaints allege that Leavitt made unsuitable recommendations and made misrepresentations. [read post]
21 May 2019, 6:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kordich’s customer complaints allege that Kordich recommended unsuitable investments and securities among other allegations. [read post]
3 Aug 2020, 6:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Hoffman was employed by his prior employer Ameriprise Financial Services (Ameriprise) prior to being investigated concerning his activities. [read post]
29 Nov 2018, 2:36 pm
The Financial Industry Regulatory Authority (FINRA) has suspended David Howard Fagenson, a former UBS Financial Services (UBS) broker, for eight months. [read post]
15 Sep 2015, 6:30 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Kenneth Hornyak (Hornyak) (Case No. 2013038511901) alleging that the broker failed to respond the regulator’s requests for documents and information. [read post]
4 Sep 2012, 6:29 am
The Conference brought together state and federal mortgage regulators, industry professionals, compliance companies, legal professionals, and education providers to discuss the latest developments in mortgage supervision and pressing issues confronting the industry, most notably developments regarding: (i) the SAFE Act and entity level licensing through the NMLS and (ii) the examination, enforcement and rulemaking initiatives of the Consumer Financial Protection Bureau… [read post]
14 Feb 2016, 12:56 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Thomas Andrews (Andrews). [read post]
13 Nov 2014, 5:22 am
According to the Financial Industry Regulatory Authority’s BrokerCheck system, there have been four customer complaints filed against former Sigma Financial Corporation (Sigma) and current Charles Schwab broker, Mark Johanson (Johanson) stemming from unsuitable Tenants-in-Common (TIC) investments. [read post]
25 Jun 2009, 11:25 am
In April of 2009, the G-20 countries expressly committed to strengthening their domestic financial regulatory regimes. [read post]
27 Feb 2012, 1:16 pm
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened.” [read post]
16 Aug 2022, 3:31 pm
The Korean Financial Services Commission presented its intentions to enhance the rules governing cloud computing and network separation in the Korean financial industry on April 14, 2022. [read post]
23 Sep 2016, 6:03 am
It's fascinating what he uncovers.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2015, former Rice Financial Products Company registered representative Claimant Ellis asserted breach of contract against his former employer. [read post]
