Search for: "Financial Industry Regulatory Authority"
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5 Jul 2017, 1:31 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in November 2016, Thomas Oliphint (Oliphint) was discharged and terminated by LPL Financial LLC (LPL) over allegations that Oliphint violated firm policy regarding outside business activities. [read post]
6 Sep 2016, 3:04 pm
Resch is currently registered to sell securities with LPL Financial LLC in the broker-dealer’s Morristown, New Jersey office, according to her publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Apr 2011, 1:49 pm
According to a recent InvestmentNews article, the Financial Industry Regulatory Authority Inc. [read post]
26 Jan 2024, 1:54 am
The paper is intended to establish the groundwork for future discussions between industry stakeholders and regulatory authorities towards a quantum secure financial sector. [read post]
7 Apr 2020, 11:38 am
Our webinar yesterday, “Consumer Financial Regulatory and Litigation Fallout from the COVID-19 Crisis,” in which we were joined by special guest speakers Richard Cordray, former CFPB Director, and John Roddy, Partner at Bailey & Glasser and prominent plaintiffs’ class action lawyer, highlighted the regulatory and litigation risks the crisis is expected to create for members of the consumer financial services industry. [read post]
22 Apr 2023, 6:18 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Blakezuniga, has three regulatory disclosures on his profile. [read post]
2 Feb 2017, 8:46 am
Krispeal has been employed and registered with PHX Financial, Inc., a Hauppauge, New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
29 Apr 2021, 10:02 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Martirosian from the securities industry. [read post]
27 May 2017, 7:49 am
Dorion is currently not associated with any brokerage firm due to his bar by The Financial Industry Regulatory Authority’s (FINRA) in October 2016 for failing to response to the regulator’s request for information. [read post]
1 Oct 2007, 6:24 am
The Financial Industry Regulatory Authority this week said Morgan Stanley has to pay $12.5 million in fines to resolve charges for [...] [read post]
3 Aug 2018, 6:49 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Newbridge Securities Corporation (Newbridge Securities) broker Edward Klug (Klug) left the securities industry in May 2018 after disclosing several large tax liens in the prior years. [read post]
20 Dec 2022, 9:11 am
FINRA Investigation involving John Matson, LPL Financial According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor John Nicholas Matson (CRD#: 1796541) from associating with any FINRA member at any time after he failed to provide information in its investigation. [read post]
14 Aug 2018, 6:00 am
Further, RegTech will not only impact the financial institutions, but will also trickle down to affect industries such as the health care and insurance industry. [read post]
21 Jul 2021, 8:45 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Enoch Booth from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
4 Sep 2015, 11:34 am
Financial Industry Regulatory Authority (FINRA ) issued a new investor alert this week, Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams, warning investors to be wary of investment schemes forwarded to them on the popular messaging platform WhatsApp. [read post]
15 Feb 2012, 8:08 am
Last week, a Financial Industry Regulatory Authority ("FINRA") arbitration panel awarded an elderly California couple $1.4 million for losses in two tenant-in-common ("TIC") investments. [read post]
27 Dec 2022, 6:47 am
John Terzis Allegedly Borrowed $200,000 from a Customer According to a Letter of Acceptance Waiver and Consent on December 23, 2022, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor John Nicholas Terzis (CRD #1805020) from associating with any FINRA member at any time after his member firm reportedly dismissed him for “failing to timely disclose a loan arrangement with a customer of the firm. [read post]
2 Jan 2018, 6:58 am
According to BrokerCheck records, Elaine LaCerte (LaCerte), also known as Elaine Diones and Elaine Diones Helzer, was suspended by the Financial Industry Regulatory Authority (FINRA) in August 2017. [read post]
6 Mar 2018, 11:24 am
On February 16, 2018, the Financial Industry Regulatory Authority (“FINRA”) signed off on a Letter of Acceptance, Waiver, and Consent (“AWC”), pursuant to which financial advisor Darrell Walter Rideaux (CRD# 5211032), without admitting or denying any wrongdoing, voluntarily consented to a bar from working in the securities industry in any capacity. [read post]
25 Jan 2021, 7:04 am
Michael Shillin, financial advisor based in Altoona, Wisconsin, has been barred from working in the securities industry by the Financial Industry Regulatory Authority (FINRA) after he allegedly refused to respond to claims and complaints. [read post]
