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12 May 2010, 11:51 am
FINRA's investigation uncovered that between 2001 and 2008, Dimare persuaded his clients to invest in fictitious investments. [read post]
6 Oct 2017, 9:14 am
Investors in Sierra Income Corporation (“Sierra”), or a similar non-traded investment product may be able to recover losses on their investments through FINRA arbitration. [read post]
1 Nov 2022, 2:05 pm
FINRA reportedly expelled Continental Broker-Dealer Corp. in May of 2004. [read post]
1 Nov 2022, 2:05 pm
FINRA reportedly expelled Continental Broker-Dealer Corp. in May of 2004. [read post]
1 Nov 2022, 2:05 pm
FINRA reportedly expelled Continental Broker-Dealer Corp. in May of 2004. [read post]
10 Jul 2023, 12:36 pm
FINRA sanctioned Gheith with a fine of $7,500 and a one-month suspension, which ended on 2/16/2023. [read post]
10 May 2023, 6:47 am
On 2/21/2023, FINRA sent a letter notifying him of suspension from association preventing him from associating with any FINRA member in all capacities. [read post]
22 Jun 2017, 2:55 pm
FINRA also said that the firm’s supervisory procedures were “deficient. [read post]
8 Dec 2021, 6:08 am
Wyczawski consented to a five-month suspension and to pay a $5,000 fine as well as restitution of $21,644 plus interest, all without admitting or denying the findings, FINRA stated. [read post]
7 Sep 2021, 7:38 am
Rather than using the funds for those purposes, FINRA claims that he deposited the money into his bank account and paid personal expenses. [read post]
5 Dec 2011, 6:00 am
Lastly, the sanctioned principals did not have reasonable grounds to allow continued selling of the offerings, despite the numerous "red flags" that existed regarding the private placements.Brad Bennett, FINRA Executive Vice President and Chief of Enforcement, said, "FINRA continues to look closely at sales of private placements to determine whether the selling firms are fulfilling their responsibilities to customers. [read post]
3 Nov 2011, 11:46 am
FINRA found significant violations of Reg. [read post]
11 Apr 2012, 1:13 pm
Currently, FINRA is receiving comments on this proposal until May 21, 2012. [read post]
7 Sep 2022, 5:47 am
The risk of such concentration was compounded by frequent trading in the PR Bonds because of the repeated payment of upfront costs that would decrease any investment returns,” FINRA said in its complaint. [read post]
26 Mar 2020, 7:20 am
FINRA is temporarily extending the period for submitting fingerprint information under FINRA Rule 1010(d). [read post]
21 Jun 2018, 6:55 am
FINRA Disciplinary Report: June 2018Every month and every quarter, securities industry watchdog, the Financial Industry Regulatory Authority (FINRA) releases its report of disciplinary actions against FINRA registered broker-dealers and brokers. [read post]
10 Jul 2015, 11:45 am
Engler himself has settled 11 customer complaints over the years, according to the FINRA CRD system. [read post]
6 Jul 2016, 9:49 am
FINRA Broker Disciplinary Action Report May 2016Each month and again on a quarterly basis, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
22 Apr 2024, 11:39 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
7 Jul 2009, 6:14 pm
When a customer opens a brokerage account with a brokerage firm that is a member of FINRA, the customer is obligated to submit any dispute to arbitration in accordance with the rules and procedures of FINRA Dispute Resolution. [read post]
