Search for: "Financial Industry Regulatory Authority"
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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]
20 Jan 2016, 5:33 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Michael Blueweiss (Blueweiss). [read post]
24 Feb 2012, 6:46 am
The Financial Industry Regulatory Authority ("FINRA") issued an Investor Alert reminding investors to carefully review their account statements and trade confirmations for potential red flags. [read post]
13 Jan 2020, 11:28 am
His proposals include the following key elements: Enacting a new “California Consumer Protection Law” that would change the name of the Department of Business Oversight to the “Department of Financial Protection and Innovation” (DFPI) and give the DFPI expanded authority to administer the new law, such as by “expanding the Department’s authority to pursue unlicensed financial service providers not currently subject to… [read post]
3 Jul 2022, 8:00 am
Although not a respondent in the Financial Industry Regulatory Authority (FINRA) arbitration claim, Korsch allegedly unsuitably recommended this risky life settlement-backed bond to the customer. [read post]
21 Apr 2019, 7:16 am
FINRA Bars Ex-LPL Broker Who May Have Taken Loans From Clients In an unrelated case, The Financial Industry Regulatory Authority (FINRA) is barring James Bylenga, an ex-LPL broker, after he neglected to participate in the self-regulatory authority’s probe into allegations of misconduct. [read post]
31 Dec 2008, 12:12 am
On December 16, 2008, the Financial Industry Regulatory Authority (“FINRA”) announced the details of this “special arbitration procedure. [read post]
24 Jul 2014, 7:00 am
District Court for the Central District of California remanded to a California state court a stockbroker’s lawsuit against the Financial Industry Regulatory Authority for expungement of certain allegedly harmful disclosures from BrokerCheck. [read post]
13 Aug 2020, 10:48 am
According to a regulatory notice posted by the Financial Industry Regulatory Authority (FINRA), the regulator is warning member firms of a new imposter website www.finnra.org (please notice the extra “n” in the domain name). [read post]
9 Nov 2015, 3:19 pm
The Financial Industry Regulatory Authority (FINRA) is investigating MetLife for potential violations involving variable annuities. [read post]
7 Feb 2020, 1:29 pm
Last week, the Financial Industry Regulatory Authority (FINRA) censured and assessed a fine of $50,000 against a national investment firm, Paulson Investment Company LLC, in connection with its sale and solicitation of private placement offerings to investors, in violation of Rule 506 of Regulation D and Section 5 of the Securities Act of 1933. [read post]
2 Jul 2019, 8:21 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor James T. [read post]
23 Mar 2018, 10:41 am
According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has barred Michael Giokas from the securities industry for failure to respond to FINRA’s request for information in regards to Giokas’ recent criminal charges. [read post]
1 May 2014, 1:38 pm
If so, The White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
16 Aug 2024, 8:56 am
The proceeding arose out of a Financial Industry Regulatory Authority (FINRA) arbitration commenced on November 19, 2021. [read post]
9 Nov 2017, 2:45 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jonathan Freeze (Freeze), in August 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances surrounding Freeze’s alleged sale of variable annuities. [read post]
28 Jan 2020, 3:02 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), McKinney’s customer complaints alleges that McKinney recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
25 Feb 2021, 8:58 am
Former David Lerner Associate Broker May Have Sold Spirit of America Energy Fund Among Others to Customers The Financial Industry Regulatory Authority (FINRA) has suspended Florida-based broker, Charles Bonilla, for six months. [read post]
7 Jan 2020, 6:44 am
Gary Basralian, whom the Financial Industry Regulatory Authority (FINRA) barred in 2018, is currently in prison for fraud, including bilking older women who suffered from disabilities. [read post]
8 Apr 2022, 7:52 am
FINRA Accuses Broker-Dealers of Negligence and Unsuitability The Financial Industry Regulatory Authority (FINRA) recently fined three brokerage firms for negligently selling GPB Capital Holdings private placements to retail customers. [read post]
