Search for: "Financial Industry Regulatory Authority"
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6 Feb 2021, 11:30 am
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm David Lerner Associates, Inc. [read post]
6 Feb 2021, 11:00 am
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm LPL Financial, LLC (LPL) involving the firm’s financial advisor, Kevin McCallum (McCallum) and his use of discretion to invest substantial sums in Medley Capital Corporation (MCC). [read post]
5 Feb 2021, 2:56 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Lisa Ann Brumm (also known as Lisa Am Brumm and Lisa Ann Moon) from the securities industry for six months and fined her $7,500. [read post]
5 Feb 2021, 11:33 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Paul Francoeur from the securities industry. [read post]
SEC Says GPB Capital Holdings CEO and Executives Defrauded Over 17,000 Investors In $1.7B Ponzi Scam
5 Feb 2021, 11:32 am
GPB Capital Holdings, an alternative asset firm that invests in auto dealerships and waste management, has been under investigation over Ponzi fraud allegations by the SEC, the Federal Bureau of Investigation (FBI), the Financial Industry Regulatory Authority (FINRA), and others for more than two years. [read post]
5 Feb 2021, 6:49 am
The attorneys in Ballard Spahr’s Consumer Financial Services Group, including attorneys in the firm’s Los Angeles, California office, are closely monitoring all regulatory, supervisory, and enforcement developments relating to the DFPI’s implementation and exercise of its new jurisdiction and authorities. [read post]
5 Feb 2021, 3:56 am
Centaurus Financial is a Financial Industry Regulatory Authority (FINRA) member firm. [read post]
5 Feb 2021, 3:56 am
Centaurus Financial is a Financial Industry Regulatory Authority (FINRA) member firm. [read post]
4 Feb 2021, 4:49 pm
Many industries, including the practice of law, have codes of “professional conduct” that outline the things practitioners should and shouldn’t do. [read post]
4 Feb 2021, 1:08 pm
According to the Financial Industry Regulatory Authority (FINRA) on February 2, the regulator has sanctioned HSBC Securities (USA) Inc. with a censure and fine of $650,000 in connection with alleged violations of rules concerning fingerprinting. [read post]
3 Feb 2021, 1:49 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended former broker Jasmit Singh from the securities industry for seven months over allegations that Mr. [read post]
3 Feb 2021, 1:00 am
Wealth Enhancement & Preservation CEO Named in Two Pending Investor Claims Triad Advisors stockbroker, Darrin Stuart Cohen, is currently the subject of two pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers collectively seeking $600K in damages. [read post]
2 Feb 2021, 2:38 pm
Triad Advisors LLC, (CRD# 25803, Atlanta, GA) a national financial advisory firm headquartered in Atlanta, GA, reportedly has 10 disclosure events on its broker record including 6 regulatory events, and 4 arbitrations, according to the Financial Industry Regulatory Authority (FINRA). [read post]
2 Feb 2021, 7:22 am
It will have to pass muster with the Financial Stability and Development Committee, China’s highest economic and financial regulatory body, chaired by Vice Premier Liu He. [read post]
2 Feb 2021, 1:00 am
FINRA Bars Former Charlotte, North Carolina Financial Advisor The Financial Industry Regulatory Authority (FINRA) arbitration has permanently barred Gary Wayne Hammond, an ex-North Carolina broker, following allegations that he took part in more than $1.6M in private securities transactions without having given written notice to his then-firm. [read post]
1 Feb 2021, 9:15 am
Pursuant to their membership with the Financial Industry Regulatory Authority (FINRA), brokerage firms like DBSI have supervisory duties that require them to monitor both the internal and external business activities of their registered employees and brokers like Mr. [read post]
29 Jan 2021, 11:21 am
Legacy new media, especially print, are largely suffering financially, especially at the regional and local levels. [read post]
29 Jan 2021, 7:55 am
FINRA Suspends Cincinnati, Ohio Financial Advisor The Financial Industry Regulatory Authority (FINRA) has suspended former Ameriprise (AMP) stockbroker, Angel W. [read post]
28 Jan 2021, 7:27 pm
There is a string tendency among those who advance knowledge in this field to all too quickly assume that the answer is more traditional law and state interaction, rather than to consider alternatives: delegated authority, reinforcing private law systems, and markets. [read post]
28 Jan 2021, 11:56 am
The Financial Industry Regulatory Authority, which regulates brokerage firms like Robinhood, T.D. [read post]
