Search for: "Financial Industry Regulatory Authority"
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7 Oct 2013, 6:24 am
Here is yet another indication that Wall Street may not be the highly trained and alert workplace you thought it was.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, Shawn Michael Wyatt submitted a Letter of Acceptance, Waiver and Consent… [read post]
3 Jul 2019, 7:37 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, Scott Mason, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
5 Jan 2012, 6:49 am
Herskovits PLLC will provide legal representation to broker-dealers, securities industry professionals and investors in securities litigation, securities arbitration and securities industry regulatory defense matters before the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) and state securities authorities. [read post]
29 Jul 2015, 7:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Anthony Pace (Pace) has been the subject of at least six customer complaints and one employment seperation. [read post]
26 Aug 2015, 7:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Peirce (Peirce) has been the subject of at least four customer complaints. [read post]
19 Aug 2015, 9:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Kaplan (Kaplan) has been the subject of at least four customer complaints and one termination. [read post]
19 Nov 2009, 6:27 am
This would be a significant change in the regulatory landscape, and is one that many RIAs and industry groups oppose. [read post]
31 Jul 2015, 5:33 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Garyn Angel (Angel) has been sanctioned by the regulator in connection with allegations that Angel participated in two private securities transactions without providing prior written notice to his employing member firm, a practice referred to in the industry as selling away. [read post]
20 Aug 2015, 12:22 pm
If so, the White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
17 Feb 2015, 11:52 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Timothy O’Brien (O’Brien) alleging that O’Brien exercised discretion in two customers’ accounts without obtaining prior written authorization from the customers. [read post]
18 Nov 2016, 11:04 am
Investment attorneys at Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against John Cangialosi (Cangialosi) alleging unsuitable investments, fraudulent and negligent acts, breach of contractual requirements, churning, and negligent misrepresentation among other claims. [read post]
11 Apr 2016, 6:01 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Bernardo Misseri (Misseri). [read post]
26 Jan 2018, 9:18 am
Today's BrokeAndBroker.com Blog explores the interaction between the Financial Industry Regulatory Authority and one of those folks who apparently didn't want to bother with having to sit down and take a test and found someone else to substitute for him.Case In PointFor the purpose of proposing... [read post]
16 Feb 2023, 12:56 pm
The financial services self-regulator, The Financial Industry Regulatory Authority (FINRA), provides regulatory services to the financial industry by licensing and regulating brokerage firms. [read post]
5 Dec 2019, 7:47 am
According to the Financial Industry Regulatory Authority (FINRA) on December 4, John A. [read post]
24 Oct 2018, 6:19 pm
The Financial Industry Regulatory Authority (FINRA) is one of various authorities tasked with promoting transparency and investor safety within the retail investment industry. [read post]
13 Aug 2024, 10:19 pm
FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
12 Jul 2017, 12:02 pm
According to BrokerCheck records Michael Spolar (Spolar), now associated with International Assets Advisory, LLC (IAA), has been sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that Spolar exercised discretion in customers’ accounts that were non-discretionary accounts. [read post]
18 Jul 2017, 1:31 pm
According to BrokerCheck records Terry Brodt (Brodt) has been sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that, while associated with Garden State Securities, Inc. [read post]
14 Oct 2015, 9:11 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Hilary Zimmerman (Zimmerman) has been the subject of at least 6 customer complaints over the course of her career. [read post]
