Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
Results 261 - 280
of 3,177
Sorted by Relevance
|
Sort by Date
16 Jun 2023, 1:54 pm
The Financial Industry Regulatory Authority Inc. on Thursday barred a financial advisor, Andrew Komarow, whose practice focused on special needs and autism, after he failed to cooperate in a Finra investigation in the wake of being accused by his firm last year of not using electronic transfers of funds properly. [read post]
10 May 2010, 5:00 am
The Financial Industry Regulatory Authority permanently barred Tod Bretton, former chief compliance officer and head trader for Prestige Financial Center, Inc. [read post]
7 Mar 2016, 12:07 pm
An Arizona broker, David Joseph Escarcega, has been expelled from the industry by the Financial Industry Regulatory Authority (FINRA) for making unsuitable investment recommendations to clients. [read post]
26 Mar 2011, 11:25 am
The Financial Industry Regulatory Authority wants the District of Columbia Court of Appeals to reverse the D.C. [read post]
7 May 2013, 6:04 am
Although many firms have implemented policies and procedures to track emails, the devil is often in the details, as this recent settlement proves.NEXT On LineFor 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 without an adjudication of any issue, NEXT Financial Group, Inc.,… [read post]
22 Apr 2023, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
3 Oct 2017, 8:05 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker James Dresselaers (Dresselaers) is under FINRA investigation and subject to one customer complaint. [read post]
11 May 2016, 11:31 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for allegedly inadequately supervising firm-wide internal “flash” emails sent by its research analysts to convey information about companies and industries the firm covered. [read post]
27 Mar 2015, 2:16 pm
(“World Equity”), a broker-dealer, submitted a Letter of Acceptance Waiver and Consent (“AWC”) wherein it agreed to a censure and a $225,000 fine to settle allegations of violations of federal securities law as well as National Association of Securities Dealers (“NASD”) and Financial Industry Regulatory Authority, Inc. [read post]
22 Aug 2014, 10:06 am
On August 15, 2014, a three (3) member Financial Industry Regulatory Authority (“FINRA”) arbitration panel found Morgan Stanley & Co., Inc. [read post]
28 Jul 2016, 1:42 pm
Brown is currently employed and registered with Capital Portfolio Management, Inc. and works at the broker-dealer’s Timonium, Maryland office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Jan 2020, 9:19 am
James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme James Thomas Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment… [read post]
15 Sep 2017, 6:36 am
William Garbarino Barred after Lincoln Financial fires him for allegedly false testimony According to The Financial Industry Regulatory Authority Inc. [read post]
20 Sep 2015, 9:41 am
The Financial Industry Regulatory Authority (FINRA) barred (FINRA AWC No. 20150454876-01) former PFS Investments, Inc. [read post]
24 Aug 2020, 12:52 pm
Kenneth Butschek, Proequities Inc., Halletsville, TX According to public records, the Financial Industry Regulatory Authority (FINRA) on March 26, 2020 has barred Kenneth Butschek from associating with any FINRA member at any time after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
26 Apr 2012, 8:18 am
A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements. [read post]
26 Apr 2012, 8:18 am
A Financial Industry Regulatory Authority Inc. hearing officer on Wednesday expelled Pinnacle Partners Financial Corp. and barred its president, Brian Alfaro, for alleged fraudulent sales of oil and gas private placements. [read post]
26 Jan 2016, 7:12 am
Fenton is currently employed and registered with M&T Securities, Inc., a broker-dealer, working out of the Buffalo, New York office, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority. [read post]
6 Jun 2017, 12:32 pm
Gana LLP is investigating a customer complaint filed with the Financial Industry Regulatory Authority (FINRA) again broker Joeann Mitchell Walker (Walker). [read post]
13 Dec 2017, 8:04 am
Next Financial Group– New Procedures but Misconduct Reportedly Continues According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has fined Next Financial Group Inc. [read post]
