Search for: "Financial Industry Regulatory Authority"
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8 Nov 2021, 11:18 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Michael May from the securities industry. [read post]
24 May 2021, 1:21 pm
Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers has barred stockbroker Mercer (“Toby”) Hicks III from the securities industry for making unsuitable investment recommendations to five elderly customers ranging in age from 73 to 88 years old. [read post]
6 Mar 2021, 12:22 pm
Last month, this blog reported that broker Scott Wayne Reed (CRD No. 3007033) had been barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) for participating in private securities transactions totaling at least $3.5 million without providing prior written notice to his firm. [read post]
3 Feb 2021, 1:49 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended former broker Jasmit Singh from the securities industry for seven months over allegations that Mr. [read post]
29 Nov 2011, 9:42 am
The Financial Industry Regulatory Authority has ordered another 10 individuals and 8 financial firms to pay $3.2M in restitution to clients who were sold interest in risky private placements that were issued by DBSI, Inc., Medical Capital Holdings, Inc., and Provident Royalties, LLC. [read post]
25 Oct 2019, 9:31 am
According to the Financial Industry Regulatory Authority, on October 22, the regulator fined financial advisor Steven T. [read post]
28 Aug 2021, 1:36 pm
In fact, some investment firms have implemented the rules issued by the Financial Industry Regulatory Authority, Inc. [read post]
8 Aug 2014, 6:01 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Robert Livingstone (Livingstone) concerning allegations that Livingstone failed to respond FINRA’s request for documents concerning claims that Livingstone deposited a customer’s money into a private company called Newland Strategies. [read post]
2 Jul 2014, 9:30 pm
Ultimately, the authors recommend that the Office of Information and Regulatory Affairs institutionalize cost-benefit analysis principles for financial regulators and bring financial regulatory agencies under its supervision. [read post]
4 Oct 2020, 12:46 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Hannes was employed by his prior employer Woodbury Financial Services, Inc. [read post]
27 Jan 2023, 12:59 pm
On January 23, 2023, Paulson Investment Company, LLC (Paulson) agreed to a censure, a fine of $150,000 and to make restitution to 60 customers in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. [read post]
4 Sep 2009, 5:48 am
The controversy surrounding leveraged exchange traded funds (ETFs) shows no sign of letting up, and on Sept. 1, the Financial Industry Regulatory Authority (FINRA) announced plans to raise margin requirements for leveraged ETFs beginning Dec 1. [read post]
27 Feb 2016, 12:31 pm
The investment attorneys of Gana LLP are investigating regulatory complaints filed by The Financial Industry Regulatory Authority’s (FINRA) against brokerage firm Finance 500, Inc. [read post]
2 Jun 2018, 4:56 am
If you don't quite see it, though, please read today's BrokeAndBroker.com Blog.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, GrandFund Investment Group, LLC, submitted a Letter of Acceptance, Waiver ... [read post]
23 Mar 2015, 4:17 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Raymond Sardina submitted a Letter of A... [read post]
17 Jul 2015, 6:58 am
The Financial Industry Regulatory Authority ("FINRA) recently announced a regulatory settlement involving a member firm that sort of got it right. [read post]
20 Nov 2016, 2:16 am
After reading a recent Financial Industry Regulatory Authority settlement, I find myself unable to reconcile the regulator's allegations against a respondent registered representative with the regulator's fairly modest fine and relatively light suspension. [read post]
2 May 2017, 5:12 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting o... [read post]
27 Sep 2013, 2:59 am
Call those add-on charges to customers what you will, if it stinks like a commission, you may find yourself in hot water.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Columbus Advisory Group, Ltd. [read post]
2 Jan 2015, 4:57 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Russell Darin Hurley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
