Search for: "Financial Industry Regulatory Authority"
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5 Jul 2013, 2:12 am
This somewhat convoluted dispute apparently manifested itself as a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2010 by public customer Claimant Lynne C. [read post]
6 Jul 2016, 12:00 am
O’Connor answered a number of questions from Judge Crummey relating to the arbitration of securities disputes before the FINRA (Financial Industry Regulatory Authority) Office of Dispute Resolution. [read post]
3 Feb 2017, 6:31 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against David Fagenson (Fagenson) currently associated with Newbridge Securities Corporation (Newbridge) alleging Fagenson engaged in a number of securities law violations including that the broker made unsuitable investments and unauthorized trading among other claims. [read post]
27 Mar 2014, 12:14 pm
According to a news release dated March 24, 2014, the Financial Industry Regulatory Authority (FINRA) announced that LPL Financial has been fined $950,000 for the firm's failures in supervision over alternative investments, including non-traded REITs, oil and gas partnerships, business development companies, hedge funds, managed futures and other illiquid pass-through investments. [read post]
10 Jul 2017, 1:22 am
Our regulatory landscape under twin peaks The Financial Sector Regulation Bill creates two brand new regulators – the Prudential Authority and the Financial Sector Conduct Authority. [read post]
7 Jul 2023, 12:53 pm
FINRA Bars Advisor Helen Caldwell after Allegations of Outside Business Activities The Financial Industry Regulatory Authority, the regulator who oversees brokers and brokerage firms, has reportedly barred financial advisor Helen Caldwell from the securities industry as of July 6, 2023. [read post]
17 Oct 2023, 10:23 am
FINRA Bars Cambridge Broker Todd Lesk after Crypto Asset Offering Sales According to public documents, the Financial Industry Regulatory Authority (FINRA) has reportedly barred former broker Todd Lesk (CRD#: 2788300) from the securities industry. [read post]
31 Aug 2022, 7:08 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Venturelli’s customer complaint alleges that Venturelli engaged in unauthorized trading and recommended unsuitable investments. [read post]
8 Apr 2024, 10:00 pm
Bank Climate-Related Financial Risk Regulatory Tracker Explore key rules (final and proposed) on climate-related financial risk requirements undertaken by the White House, SEC, Department of Treasury, and other federal banking agencies. [read post]
27 May 2024, 10:00 pm
Bank Climate-Related Financial Risk Regulatory Tracker Explore key rules (final and proposed) on climate-related financial risk requirements undertaken by the White House, SEC, Department of Treasury, and other federal banking agencies. [read post]
16 Mar 2018, 10:08 am
Gary Gray, a former Las Vegas-based Wells Fargo broker was suspended from the industry for three months by the Financial Industry Regulatory Authority (FINRA). [read post]
2 Apr 2019, 10:49 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Kristian Gaudet (Gaudet), formerly associated with Ameritas Investment Corp. [read post]
4 Apr 2018, 10:00 am
(“Benefit Street” or the “Company”) may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the financial advisor. [read post]
23 Feb 2010, 9:37 pm
A Financial Industry Regulatory Authority panel has ordered Morgan Keegan & Co. to pay investor Andrew Stein $2.5 million because the bond funds that he invested in had bet poorly on mortgage-related holdings. [read post]
4 Feb 2019, 2:18 pm
Investors Alleging Negligence and Mishandling of Their Retirement Funds Win FINRA Case A Financial Industry Regulatory Authority (FINRA) panel arbitration is ordering First Allied Securities and financial adviser Larry Glenn Boggs to pay claimants and early retirees Nita and Mike Snow over $578K in compensatory damages, $500,000 in punitive damages, $350K in attorney’s fees, and $60K in other costs related to losses they sustained. [read post]
7 Oct 2015, 7:26 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker John Jones (Jones) (FINRA No. 2013036960801) alleging that between January 2004 and December 2006, Jones engaged in unsuitable trading in a customer’s account by recommending purchases of three speculative investments inconsistent with the customer’s investment objectives and financial condition and resulting in an overconcentration in the… [read post]
22 Feb 2010, 8:49 am
Yesterday's article in Investment News confirms my opinion about the disadvantages of pursuing mass-arbitration claims before the Financial Industry Regulatory Authority (FINRA), which I try to avoid in my California securities law practice. [read post]
22 Jun 2022, 9:01 pm
Nonetheless, granting CFTC primary regulatory authority over cryptocurrencies will likely be welcomed by the Web3 industry, which has generally viewed digital assets as more akin to commodities than securities. [read post]
2 Jul 2019, 1:09 pm
For example, last month, the Financial Industry Regulatory Authority (FINRA) barred Philip John Nalesnik, a former LPL broker based in Pennsylvania. [read post]
18 Nov 2014, 8:46 am
By Ben Keane and Stefan Passantino Late last week, the Financial Industry Regulatory Authority (FINRA) quietly posted a new regulatory notice proposing a series of pay-to-play type rules for its broker-dealer members that closely track the pay-to-play provisions set forth by the Securities and Exchange Commission (SEC) in Rule 206(4)-5. [read post]
