Search for: "Financial Industry Regulatory Authority"
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19 Jul 2016, 6:46 am
Second, we are confronted with the puzzling anomaly of how and why the customer complaint and Award appear on the BrokerCheck files of the FINRA member firm but not on the BrokerCheck files of the registered representative.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2014,... [read post]
2 Aug 2016, 4:35 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FI... [read post]
29 Jul 2015, 8:19 am
Also, there is an interesting issue involving whether a proposed expert was conflict and otherwise disqualified from testifying.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2012, Claimants causes of action included suitability, unauthorized trading, and churning in connection with Respondents' alleged mismanagement of Claimants' accounts. [read post]
6 Jul 2022, 12:33 pm
Texas Retiree Files Six-Figure FINRA Arbitration Claim Over Her Investment Losses An Austin, TX investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. [read post]
10 Jun 2023, 2:19 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]
29 Apr 2015, 4:38 am
Smarsh, Inc. and Financial Industry Regulatory Authority/Department of Enforcement, Defendants (Complaint, DDC, 15-CV-00494, April 6, 2015), Plaintiffs North and Pompeo sought at least $3,000,000 in damages and relief against Defendants Smarsh and FINRA for spoliation, tampering and destruction of evidence and to prevent use of such spoliated and tampered evidence.NOTE: Defendants in a civil lawsuit are presumed innocent unless an... [read post]
4 Oct 2017, 8:07 am
This is a test for RRBD Daily PostsFINRA Borrowing Settlement Involves Friendly 96 Year Old Customer http://www.brokeandbroker.com/3608/finra-borrowing-elderly/Most Wall Street registered reps didn't quite hear the bit after the "till death do you part" portion of their wedding vows where they were also asked if they took the Financial Industry Regulatory Authority as their lawfully wedded self-regulator. [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]
27 Jun 2014, 3:25 am
This is an update of Former Morgan Stanley Smith Barney Brokers Win $5 Million Employment Dispute Arbitration Award (BrokeAndBroker.com, June 20, 2012).In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011 and thereafter amended, Claimants Paladino and Vitale asserted:fraudulent misrepresentation;promissory fraud;fraudulent concealment and/or omission;negligent misrepresentation;negligent concealment… [read post]
30 Mar 2021, 12:18 pm
The Financial Industry Regulatory Authority (“FINRA”) has Securities America, Inc. [read post]
21 Sep 2016, 7:07 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Brian Sak (Sak). [read post]
21 Sep 2016, 7:07 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Brian Sak (Sak). [read post]
28 Jan 2017, 6:35 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Brian Sak (Sak). [read post]
21 Mar 2008, 9:28 am
FINRA, the Financial Industry Regulatory Authority has issued an Investor Alert urging homeowners over the age of 60 to carefully weigh all of their options before tapping into their home equity through reverse mortgages to obtain additional income for their retirement years: A reverse mortgage is an interest-bearing loan secured by the equity in a home and can be helpful to homeowners having trouble meeting expenses. [read post]
7 Jun 2011, 11:54 pm
Northern Trust Securities has consented to pay a $600,000 Financial Industry Regulatory Authority fine over securities charges accusing it of failing to supervise collateralized mortgage obligation sales and lacking the systems set up to properly monitor certain high-volume securities trades. [read post]
14 Jan 2019, 7:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Nicholas Radke (Radke), formerly associated with MML Investors Services, LLC (MML Investors) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
21 Jul 2017, 8:53 am
The investment lawyers of Gana LLP are investigating the allegations made by The Financial Industry Regulatory Authority (FINRA) against barred broker Clay Hoffman. [read post]
21 Feb 2018, 6:42 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded this to the client after she accused Bennett of breach of fiduciary duty, unauthorized trading, suitability, churning, misrepresentation, omission of facts, common law negligence, fraud, failure to supervise, common law negligent supervision and violation of Kentucky statutes, regulations and FINRA rules. [read post]
6 Mar 2018, 12:21 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded a customer of Christopher Bennett of Hillard Lyons damages of $445,000 after the claimant alleged Bennett engaged in breach of fiduciary duty, unauthorized trading, suitability, churning, misrepresentation, omission of facts, common law negligence, fraud, failure to supervise, common law negligent supervision and violation of Kentucky statutes, regulations and FINRA rules. [read post]
29 Feb 2012, 7:04 am
Bad move, according to the Financial Industry Regulatory Authority (FINRA). [read post]
