Search for: "Financial Industry Regulatory Authority"
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1 Apr 2009, 3:22 pm
Regulatory authorities and the plaintiffs' bar are homing in on the financial services industry like there's no tomorrow.* Last year, federal securities class actions against the battered sector topped those filed against high-tech companies for the first time since 1995, according to a PricewaterhouseCoopers study released today. [read post]
3 Jun 2019, 11:11 am
Former Securities America Broker Is Accused of Unsuitable and Unauthorized Trades Michael Bastardi, an ex-Securities America broker, is barred by the Financial Industry Regulatory Authority (FINRA) after he failed to give the regulator the information it requested for an investigation into his alleged conduct. [read post]
30 Nov 2017, 1:34 pm
Let there be no mistake – this is a Royal Commission into the Australian financial services industry. [read post]
3 Oct 2015, 5:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Anil Jethmal (Jethmal) has been hit with a large number of customer complaints. [read post]
31 Jan 2019, 1:24 pm
Investor Awarded $276K in Woodbridge Ponzi Fraud A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded more than $276K to an investor that lost money in the $1.2B Woodbridge Ponzi scam. [read post]
24 Aug 2018, 10:55 am
Investigating Potential Claims – Financial Advisor Stewart Malloy – Riverhead, NY According to the Financial Industry Regulatory Authority (FINRA), the regulator is investigating former financial advisor Stewart Malloy for allegedly making unauthorized trades in two clients’ accounts. [read post]
15 Jul 2010, 11:37 am
Any shortfall that results is paid for by the financial industry. [read post]
4 May 2011, 5:11 am
Finally, concerned about the transfer of authority date established in the Dodd-Frank Act, the ABA supports legislation, H.R. 1667, the Bureau of Consumer Financial Protection Transfer Clarification Act, introduced by Financial Institutions Subcommittee Chairman Shelley Moore Capito (R-WV), which would delay the transfer of authority to the Bureau until a leadership structure has been put in place. [read post]
29 May 2011, 11:43 am
In a letter to the European Securities and Markets Authority (ESMA), the Managed Funds Association said that a coordinated approach would be particularly important to global fund managers required to expend significant resources responding to requests for data, as well as to regulators seeking to assess the state of the financial system in a globally integrated marketplace. [read post]
3 Nov 2014, 6:18 am
As we reported earlier, broker Ismail Elmas’ (Elmas) Financial Industry Regulatory Authority (FINRA) BrokerCheck records show that the representative was recently discharged from CUSO Financial Services, LP (CUSO Financial) concerning allegations that the broker “converted client funds for personal use as well as participated in an unauthorized outside business activity involving investments without the firm approval…”… [read post]
2 Apr 2024, 10:12 am
Allegedly Misappropriated Customer’s Funds According to a letter of acceptance on April1, 2024, the Financial Industry Regulatory Authority (FINRA) has barred former Ameriprise Financial advisor John Engler Sr. [read post]
2 May 2019, 1:22 pm
” The self-regulatory authority (SRO) has already barred both former brokers from the industry. [read post]
23 Sep 2015, 5:57 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Capolongo (Capolongo) has been the subject of at least two customer complaints and one criminal matter over the course of his career. [read post]
13 Aug 2024, 9:01 pm
On August 7, 2024, the UK Financial Conduct Authority (FCA) published an update regarding its ongoing assessment of crypto firms’ adherence to the cryptoasset financial promotions rules introduced in October 2023. [read post]
7 Mar 2011, 8:27 am
The Northern District of Texas has issued a Temporary Restraining Order enjoining multiple arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). [read post]
15 Aug 2010, 9:49 am
The Financial Industry Regulatory Authority (FINRA) is investigating possible sales practice violations (e.g., misrepresentations and omissions) by Morgan Stanley, Barclays, and Credit Suisse in pitching collateralized debt obligation securities (CDOs) to institutional investors, according to a July 23, 2010 Reuters article by Steve Eder and Leslie Gevirtz, “FINRA probes M Stanley, Barclays, Credit Suisse. [read post]
7 Dec 2015, 6:31 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2012034393401) against broker Daniel Barthole (Barthole) resulting in a monetary sanction and a suspension. [read post]
7 Dec 2015, 6:31 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038133001) against broker Joseph Daigneault (Daigneault) resulting in a monetary sanction and a suspension. [read post]
21 Sep 2016, 7:07 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Bassam Salem (Salem). [read post]
15 Oct 2015, 6:21 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Marks (Marks) has been the subject of at least 2 customer complaints. [read post]
