Search for: "Financial Industry Regulatory Authority"
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22 Feb 2016, 7:04 am
The investment attorneys of Gana LLP are investigating a regulatory complaint filed (Disciplinary Proceedings No. 2014038996201) by The Financial Industry Regulatory Authority’s (FINRA) against broker J. [read post]
23 Mar 2021, 11:00 am
FINRA Reportedly Bars Chad Mackland After Allegations of Fraudulent Sales Practices According to the Financial Industry Regulatory Authority (FINRA) on March 22, 2020, the regulator barred former broker, Chad Mackland (CRD#4933804) after he failed to provide information in its investigation. [read post]
30 Jul 2016, 4:31 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Matthew Silato (Silato). [read post]
12 Apr 2016, 8:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Prinzivalli (Prinzivalli). [read post]
29 Jun 2016, 11:29 am
The Financial Industry Regulatory Authority Inc. recently filed a complaint against a former broker for telling his clients to invest in risky exchanged-traded funds as a hedge against impending financial and economic doom. [read post]
1 Sep 2021, 11:17 am
Being a financial professional – i.e., a registered representative (RR) – regulated by the Financial Industry Regulatory Authority (FINRA) is not easy. [read post]
5 May 2019, 10:32 pm
Investors in American Realty Capital New York City REIT (“ARC NYC REIT”), may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their ARC NYC REIT investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the broker or financial advisor. [read post]
5 Apr 2012, 6:42 am
A three-person Financial Industry Regulatory Authority Inc. panel recently awarded two former Merrill Lynch financial advisors over $10 million ($5 million in compensatory damages and $5 million in punitive damages) over deferred compensation benefits allegedly owed to the advisors. [read post]
26 Nov 2019, 7:55 am
According to the Financial Industry Regulatory Authority on November 22, the regulator has reportedly barred financial advisor Robert F. [read post]
13 Oct 2017, 12:46 pm
(“VGTel”) (OTC PINK: VGTL) may be able to recover their losses through initiating a securities arbitration proceeding with the Financial Industry Regulatory Authority (“FINRA”) if they were sold VGTel shares via misrepresentations or if a stockbroker or financial advisor made an unsuitable recommendation to purchase VGTel shares. [read post]
26 Feb 2018, 11:27 am
Investors in American Realty Capital New York City REIT (“ARC NYC REIT”), may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their ARC NYC REIT investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the broker or financial advisor. [read post]
12 Feb 2018, 7:53 am
As we highlighted in a previous blog post, investors in FS Energy and Power Fund (“FSEP” or the “Fund”) may be able to recover losses on their investment in arbitration through arbitration before the Financial Industry Regulatory Authority (“FINRA”), if the recommendation to invest in FSEP was unsuitable, or if the broker or financial advisor who recommended the investment made a misleading sales presentation. [read post]
5 Jun 2019, 9:19 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Sanchez from associating with any FINRA member at any time. [read post]
6 Jul 2018, 11:51 am
According to BrokerCheck records, Watts has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Watts for various violations of the securities laws including churning, otherwise known as excessive trading. [read post]
2 May 2024, 12:35 pm
April 2024 FINRA barred financial advisor Scott Matalon from the securities industry after he reportedly refused to cooperate with their investigation into allegations made by a client. [read post]
14 May 2014, 4:16 am
On March 27, 2014, the Financial Industry Regulatory Authority (FINRA) filed a regulatory complaint against two former brokers from MetLife Securities, Inc., a unit of MetLife Inc. [read post]
6 Oct 2021, 10:00 pm
The US Securities and Exchange Commission (SEC) published for comment on September 30 a proposed rule change by the Financial Industry Regulatory Authority (FINRA) that would amend FINRA Rule 2231—the customer account statement rule. [read post]
24 Feb 2014, 5:45 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2012, Claimant CCO Investment Services and RBS Citizens asserted breach of contract, breach of fiduciary duty, misappropriation of trade secrets and confidential information, unfair competition, tortious interference, unjust enrichment, action on promissory note, andbreach of promissory note as contract. [read post]
30 Mar 2021, 11:02 am
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Cambridge Investment Research, Inc. [read post]
20 Dec 2015, 4:39 am
It is not an unfamiliar scenario on the Street.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2009 and as amended thereafter, registered representative Claimant Chrys asserted slander per se; tortious interference with contractual relationship; tortious interference with prospective business relationships; malicious prosecution; abuse of process; unjust… [read post]
