Search for: "Financial Industry Regulatory Authority"
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10 Nov 2017, 12:58 pm
As part of its continued variable annuity (“VA”) abuse crackdown, the Financial Industry Regulatory Authority (“FINRA”) recently censured and fined member firm Ameritas Investment Corp. [read post]
21 Nov 2017, 9:55 am
On November 8, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a broker named Hank Mark Werner of upstate New York had been barred from the securities industry. [read post]
21 Oct 2020, 7:37 am
Financial Advisor Troy Baily, Sagepoint Financial in Omaha, NE FINRA Reportedly Suspends and Fines Troy Baily for Alleged Unapproved Securities Sales According to ThinkAdvisor on October 20, The Financial Industry Regulatory Authority (FINRA) has reportedly suspended former Sagepoint advisor Troy Robert Baily (Troy Baily) for six months after allegations of undisclosed and unapproved sale of private securities. [read post]
17 May 2019, 7:28 am
Mark Hopkins, American Portfolio Financial Services, Grand Blanc, MI According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Mark Hopkins, a former financial advisor in Grand Blanc, MI, from associating with any FINRA member at any time. [read post]
7 May 2020, 5:25 am
Financial Advisor James Garland Kennedy, Jr., Woodbury Financial Services, Madison, MS Jim Kennedy Reportedly Barred after Failure to Provide Testimony in FINRA’s Investigation According to a Letter of Acceptance, Waiver and Consent, The Financial Industry Regulatory Authority (FINRA) has reportedly barred James Garland Kennedy Jr. [read post]
22 Nov 2019, 10:50 am
According to the Financial Industry Regulatory Authority, on November 12, the regulator has reportedly barred financial advisor Gerald A. [read post]
10 Apr 2008, 3:55 pm
The Financial Industry Regulatory Authority announced that 16 current and-ex State Farm VP Management Corp. registered representatives have settled charges of alleged misconduct regarding FINRA's Continuing Education Requirements for taking tests. [read post]
18 Apr 2011, 6:00 am
Several financial regulatory agencies released a proposed rule, under the Dodd-Frank Act, that would require many financial institutions to disclose the structure of their incentive-based compensation programs. [read post]
23 May 2019, 7:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Mante has been accused by a customers of unsuitable investment advice concerning recommendations to invest in Puerto Rico bonds. [read post]
21 Jun 2019, 12:53 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods) has been subject to at least two customer complaints during his career. [read post]
7 Oct 2020, 7:53 am
Practice in Colorado is temporarily authorized pending admission under C.R.C.P. 205.6. [read post]
2 Sep 2020, 9:38 am
Practice in Colorado is temporarily authorized pending admission under C.R.C.P. 205.6. [read post]
11 Jan 2021, 8:52 am
Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. [read post]
3 Nov 2020, 7:34 am
Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. [read post]
2 Dec 2020, 9:26 am
Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. [read post]
7 Nov 2018, 6:25 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Polyakov (Polyakov) has been subject to three customer complaints and eight financial disclosures. [read post]
20 Feb 2020, 7:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Godin’s customer complaints alleges that Godin recommended unsuitable investments in various investments such as promissory notes, managed commodities, and other investments among other allegations of misconduct relating to the handling of their accounts. [read post]
22 Feb 2021, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Jeffrey Leach (Leach), currently employed by Morgan Stanley has been subject to at least three customer complaints during the course of his career. [read post]
15 May 2019, 1:24 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Berg’s customer complaints allege that Berg recommended unsuitable investments and securities. [read post]
9 Dec 2019, 5:34 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Almeida concerns allegations over variable annuity sales practices. [read post]
