Search for: "Financial Industry Regulatory Authority"
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25 Apr 2012, 8:05 am
The Financial Industry Regulatory Authority (FINRA) announced plans to file enforcement actions against certain brokerages in connection with unsuitable sales of leveraged and inverse leveraged exchange-traded funds (ETFs), as well as for failure to train their brokers who sell them (see Reuters article by Suzanne Barlyn and Jessica Toonkel entitled “FINRA to bring cases over leveraged, inverse ETFs”). [read post]
28 Feb 2014, 4:54 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]
1 Jul 2013, 2:41 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, Claimants Saunders asserted fraudulent inducement, negligent misrepresentations, and breach of fiduciary duty in connection with alleged recommendations by the respondents concerning the creation of an employer-sponsored welfare benefit plan under §419 of the Internal Revenue Code. [read post]
17 Sep 2013, 10:08 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 21, 2010 and as amended thereafter, Claimants alleged breach of fiduciary duty, negligence, negligent supervision, fraud by omission, misrepresentation and breach of contract in connection with their efforts to recover damages attendant to securities investments including two promissory notes used to finance real estate developments known as Moorings at… [read post]
Prudential Annuities Distributors, Inc. Fined by FINRA for Failing to Detect Variable Annuity Scheme
15 Aug 2016, 12:00 am
In a Press Release dated Tuesday, July 19, 2016, the Financial Industry Regulatory Authority (FINRA) announced a finding against Prudential Annuities Distributors, Inc. for failing to detect forged variable annuity withdrawal requests from a Prudential Annuities variable annuity customer. [read post]
30 Sep 2013, 7:40 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2005 and as amended thereafter in October 2012, Claimant Farah asserted fraud by misrepresentation and omission; negligent misrepresentation; and interference with business and contractual relationships; and failure to indemnify. [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]
20 Mar 2009, 8:31 am
FINRA (the Financial Industry Regulatory Authority) has a response to what seems to be almost daily revelations of investment fraud and investment scams around the globe. [read post]
10 Jan 2020, 7:40 am
FINRA Bars Former Morgan Stanley Representative The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker, John Joseph Cahill. [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]
29 Jun 2018, 7:26 am
Financial Industry Regulatory Authority (FINRA) CRD records show that Oklahoma-based Wells Fargo Clearing Services broker/adviser David Ridenour has received resolved or pending customer disputes. [read post]
14 Jun 2023, 6:38 pm
(OTC-PINK: AFOM) ("AFOM" or the "Company") today announced the previously anticipated effective date of its 1-for-2,854 reverse split has been extended awaiting approval of the corporate action by the Financial Industry Regulatory Authority (FINRA). [read post]
14 Nov 2016, 1:29 am
Enjoy today's epic litigation battle replete with lots and lots of music videos.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2014 and as amended, Claimant Jaffe asserted breach of contract and fraudulent inducement in connection with Joint Production Agreements and a Partnership Agreement signed  ... [read post]
27 Jul 2018, 8:11 am
Thomas Murray (CRD #721725) has received a securities arbitration claim according to the Financial Industry Regulatory Authority (FINRA) CRD system. [read post]
4 Jun 2013, 7:26 am
We may never have the answers to those questions but this case prompts us to wonder what was going on behind the scenes.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2009 and amended thereafter in January 2010 and February 2010, associated person Claimant Gomez asserted causes of action including employment discrimination, wrongful termination; breach of contract; libel; failure to supervise; and… [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]
15 Feb 2012, 8:31 am
The Financial Industry Regulatory Authority (FINRA) is taking a closer look at a fast-growing alternative investment known as a non-traded business development company (BDC). [read post]
16 Jun 2023, 11:24 pm
WASHINGTON—March 8, 2023—Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2022. [read post]
19 Jul 2016, 8:40 am
It's a white-knuckler that goes down to the wire.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2015, Claimants asserted breach of employment contract, wrongful termination, intentional interference with a contract inducing breach, fraud, constructive trust, and unjust enrichment. [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]
