Search for: "Financial Industry Regulatory Authority"
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23 Oct 2020, 3:00 pm
Peggy Jean Doherty-Punderson of Hill, New Hampshire submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which she was barred for refusing to provide information and documents in violation to FINRA Rules 8210 and 2010. [read post]
23 Oct 2020, 2:00 pm
Melissa Ann Niederhauser of Smithfield, Utah submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which she was barred for allegedly forging account statements and other documents in violation of FINRA Rules 2150(a) and 2010. [read post]
23 Oct 2020, 1:11 pm
FINRA Suspends Nebraska Stockbroker Who Marketed An Alleged $300M Ponzi Scam to Customers Troy Robert Baily, a former SagePoint Financial broker, has been suspended by the Financial Industry Regulatory Authority (FINRA) for six months. [read post]
23 Oct 2020, 11:17 am
Jeremy Joseph Cook of Lafayette, Louisiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for failing to provide documents to FINRA in violation of FINRA Rules 8210 and 2010. [read post]
23 Oct 2020, 11:05 am
Alan Harold New of Fort Wayne, Indiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly failing to provide documents to FINRA in violation of FINRA Rules 8210 and 2010. [read post]
23 Oct 2020, 9:53 am
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]
23 Oct 2020, 8:55 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
23 Oct 2020, 3:00 am
The panel found Congress has not passed a law expressly authorizing it to sue to enforce its subpoenas. [read post]
22 Oct 2020, 9:03 pm
Emily Miles said the coronavirus pandemic has served as a reminder of the financial problems local authorities have had to contend with in recent years. [read post]
22 Oct 2020, 7:06 am
For instance, the House Financial Services Committee has sided with credit unions, stating that retailers should be subject to the same rules as financial institutions. [read post]
21 Oct 2020, 11:44 am
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]
21 Oct 2020, 8:52 am
Financial Advisor Sean Refsnider, Ameriprise Financial Services in Haddon Heights, NJ FINRA Reportedly Bars Sean Refsnider after Allegations of Stealing Funds from Elderly Client According to ThinkAdvisor on October 16, The Financial Industry Regulatory Authority (FINRA) has reportedly barred ex-Ameriprise advisor, Sean Refsinider after he allegedly converted $42,000 from an elderly client for his own use. [read post]
21 Oct 2020, 7:37 am
Financial Advisor Troy Baily, Sagepoint Financial in Omaha, NE FINRA Reportedly Suspends and Fines Troy Baily for Alleged Unapproved Securities Sales According to ThinkAdvisor on October 20, The Financial Industry Regulatory Authority (FINRA) has reportedly suspended former Sagepoint advisor Troy Robert Baily (Troy Baily) for six months after allegations of undisclosed and unapproved sale of private securities. [read post]
21 Oct 2020, 6:27 am
According to the article, Baily submitted to what is called an “Acceptance, Waiver, and Consent” with the Financial Industry Regulatory Authority as a result of these ill-fated solicitations. [read post]
20 Oct 2020, 7:50 am
Editor's Note: The author will be taking questions live at 12 p.m. [read post]
20 Oct 2020, 5:17 am
If you are a Christopher Fernan investor, you should be aware that Fernan failed to appear for an on-the-record testimony requested by Financial Industry Regulatory Authority (FINRA) in connection to the customer complaint. [read post]
20 Oct 2020, 5:17 am
If you are a Christopher Fernan investor, you should be aware that Fernan failed to appear for an on-the-record testimony requested by Financial Industry Regulatory Authority (FINRA) in connection to the customer complaint. [read post]
20 Oct 2020, 1:54 am
Former broker Troy Baily, a previously registered Investment Company and Variable Contracts Products Representative of SagePoint Financial in Omaha, NE, has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) on allegations of engaging in private securities transactions by allegedly selling securities in Future Income Payments, LLC in the total amount of $210,000. [read post]
20 Oct 2020, 1:54 am
Former broker Troy Baily, a previously registered Investment Company and Variable Contracts Products Representative of SagePoint Financial in Omaha, NE, has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) on allegations of engaging in private securities transactions by allegedly selling securities in Future Income Payments, LLC in the total amount of $210,000. [read post]
19 Oct 2020, 2:11 pm
I am much more comfortable with investors taking action to try to bring about desired change than with legislative or regulatory mandates. [read post]
