Search for: "Financial Industry Regulatory Authority"
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30 Oct 2020, 9:13 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
30 Oct 2020, 6:02 am
The Financial Industry Regulatory Authority’s (FINRA) BrokerCheck tool is a good place to start; but, as FINRA has recently warned, running a search on BrokerCheck might not be enough on its own. [read post]
30 Oct 2020, 4:00 am
Promoters are not registered to sell investments (Consider doing a background check through Financial Industry Regulatory Authority (FINRA) if the promoter is U.S. based.) [read post]
29 Oct 2020, 12:58 pm
National Securities Corporation (CRD No. 7569, Boca Raton, Florida) Censured and Fined $125,000 According to the Financial Industry Regulatory Authority (FINRA) on October 27, the regulator reportedly censured and fined broker-dealer National Securities Corporation $125,000 in connection with sales practices violations and supervisory issues. [read post]
29 Oct 2020, 7:36 am
“This review would look at the roles of industry self-regulation, regulators and the government and consider whether the balance is right in promoting competition, innovation, efficiency, resilience and stability of the system. [read post]
29 Oct 2020, 7:14 am
Building a regulatory regime for the new era – an industry perspective. [read post]
29 Oct 2020, 4:30 am
Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; FINRA Ombuds Publishes 2017 Report; FINRA Posts Interview with Ombuds. [read post]
28 Oct 2020, 12:51 pm
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
28 Oct 2020, 11:06 am
Harlan Cardwell III (Tra Cardwell) Prospera Financial Services Financial in Vernon, Texas According to the The Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred ex-Prospera Financial Services advisor, Harlan Cardwell III in all capacities on May 3, 2019 after he failed to respond to FINRA’s December 14, 2018 request for information relating to his November 29, 2018 termination from his firm. [read post]
28 Oct 2020, 6:45 am
Florida Financial Advisor is Named in at Least 10 FINRA Cases, Including One $25 Million Claim If you suffered losses while working with UBS Financial Services (UBS) stockbroker, Jose Manuel Cornide, Jr., you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim for your losses. [read post]
28 Oct 2020, 6:00 am
” This is an important message that the Financial Industry Regulatory Authority (FINRA) wants all individual investors to know. [read post]
27 Oct 2020, 9:05 pm
There exist at least six different federal agencies that have regulatory authority over financial institutions that issue small business loans, in addition to individual state regulators. [read post]
27 Oct 2020, 1:23 pm
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
27 Oct 2020, 4:49 am
In its letter to the Financial Industry Regulatory Authority, the staff acknowledged that some of the FPL programs do not comply with the requirements of the broker-dealer customer protection rule. [read post]
26 Oct 2020, 12:42 pm
Metairie, LA Broker Allegedly Made Unsuitable Recommendations to Retirees If you suffered serious investment losses from working with FSC Securities Corp. stockbroker and Nettworth Financial investment advisor, Frank Briseno III, you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover your losses. [read post]
Cynthia Cowden, NPB Financial Advisor, Reportedly Barred after Unsuitable Investment Recommendations
26 Oct 2020, 7:45 am
Financial Advisor Cynthia Cowden, NPB Financial Group in Lake Isabella, CA FINRA Reportedly Bars Cynthia Cowden after Allegations of Unsuitable Investment Recommendations According to the The Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred ex-NPB Financial Group advisor, Cynthia Cowden (Cynthia Case) after she allegedly recommended unsuitable high risk, speculative investments to three senior… [read post]
24 Oct 2020, 8:00 am
Timothy Brent Hetrick of Wilder, Idaho submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly refusing to appear for on-the-record testimony requested by FINRA in violation of FINRA Rules 8210 and 2010. [read post]
24 Oct 2020, 6:00 am
Mack Leon Miller of Brooklyn, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly making unsuitable recommendations and participating in excessive trading in a customer’s account in violation of FINRA Rules 2111 and 2010. [read post]
24 Oct 2020, 5:00 am
Alexander Jon James of Royal Palm Beach, Florida submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly participating in outside business activities and unauthorized transactions in violation of NASD Rule 3040 and FINRA Rules 3270 and 2010. [read post]
24 Oct 2020, 5:00 am
Kwasi Mensah Aggor of Coventry, Rhode Island submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for failing to appear for on-the-record and provide testimony in violation of FINRA Rules 8210 and 2010. [read post]
