Search for: "Financial Industry Regulatory Authority"
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24 Apr 2017, 8:51 am
According to his BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA), Brown has been the subject of at least four customer complaints. [read post]
17 Oct 2015, 6:18 am
In response, the Financial Industry Regulatory Authority (“FINRA”) has been taking steps to impose new requirements that will impact many broker-dealers, especially those that hold inventory positions or that clear and carry customer transactions. [read post]
17 Oct 2015, 6:18 am
In response, the Financial Industry Regulatory Authority (“FINRA”) has been taking steps to impose new requirements that will impact many broker-dealers, especially those that hold inventory positions or that clear and carry customer transactions. [read post]
1 Aug 2016, 1:21 pm
The Financial Industry Regulatory Authority (FINRA) announced today a complaint filed against Hank Marker Werner for allegations including securities fraud for churning the account of a senior-aged blind widow customer and for making excessive and unsuitable trading recommendations in a News Release. [read post]
11 Sep 2015, 6:24 am
The Financial Industry Regulatory Authority (“FINRA”) has adopted amendments to its equity research rules and an entirely new debt research rule. [read post]
20 Sep 2011, 2:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced it has fined Pointe Capital, Inc. [read post]
20 Aug 2019, 10:52 am
This week the Financial Industry Regulatory Authority (FINRA), which oversees brokers fined Milwaukee based brokerage firm Robert W. [read post]
25 Jan 2012, 8:51 am
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Oppenheimer & Co., Inc. [read post]
19 Dec 2019, 10:13 am
FINRA Broker Disciplinary Action Report: December 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
4 Dec 2015, 5:27 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044589701) against broker David Khezri (Khezri) resulting in a monetary sanction and suspension. [read post]
10 May 2020, 5:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Vietor was terminated by his prior employer, CFD Investments, Inc. [read post]
9 Jun 2023, 12:54 pm
Jermaine Benjamin, Pruco Securities, Allegedly Misappropriated Funds On June 7, 2023, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor Jermaine Benjamin (CRD #6152653) from the securities industry, according to a Letter of Acceptance, Waiver and Consent. [read post]
2 Nov 2017, 4:57 am
The European Banking Authority (EBA) published a Discussion Paper on its approach to financial technology (FinTech) on 4 August 2017. [read post]
20 Sep 2012, 9:32 am
Scientists and policy experts from industry, government, and various nonprofit sectors worked on a report released recently by the Research Integrity Roundtable, designed to offer ways to improve the scientific analysis and independent expert reviews which underpin many important regulatory decisions. [read post]
7 Feb 2011, 12:42 pm
Last month, a Financial Industry Regulatory Authority (FINRA) arbitration panel ruled in favor of an elderly couple who had a filed a claim against QA3 for real estate deals that had soured. [read post]
22 Jun 2017, 3:54 pm
Gana LLP is investigating new customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker Aaron Robert Parthemer (Parthemer). [read post]
2 Oct 2015, 7:44 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
16 Dec 2014, 1:24 pm
The Financial Industry Regulatory Authority (FINRA) has announced that Merrill Lynch has been fined $1.9 million and ordered to pay restitution in the amount of $540,000 for fair pricing violations as well as supervisory violations related to the purchase of certain distressed securities. [read post]
27 Feb 2014, 10:37 am
This article was originally posted on Stock Market LossArbitrations are conducted under the auspices of the Financial Industry Regulatory Authority (FINRA). [read post]
1 Aug 2014, 8:39 am
On the other hand, if you're playing hide-and-seek and intentionally not disclosing the liens, you're headed for a world of regulatory hurt.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and witho... [read post]
