Search for: "Financial Industry Regulatory Authority"
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2 Oct 2020, 9:44 am
., Las Cruces, NM FINRA Reportedly Bars Robert Barnard after Allegations of Selling Away and Borrowing Client Funds According to the Financial Industry Regulatory Authority (FINRA) on September 30, the regulator has barred financial advisor Robert Barnard after he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations referenced in Form U5s filed by his member firm. [read post]
2 Oct 2020, 5:46 am
Robert Barnard investigation by attorney Alan Rosca reveals that former Las Cruces, NM, Principal Securities registered broker and investment advisor was barred by the Financial Industry Regulatory Authority (FINRA), after he allegedly refused to appear for on-the-record testimony requested by FINRA during its investigation into alleged inappropriate personal financial dealings with clients. [read post]
2 Oct 2020, 5:46 am
Robert Barnard investigation by attorney Alan Rosca reveals that former Las Cruces, NM, Principal Securities registered broker and investment advisor was barred by the Financial Industry Regulatory Authority (FINRA), after he allegedly refused to appear for on-the-record testimony requested by FINRA during its investigation into alleged inappropriate personal financial dealings with clients. [read post]
1 Oct 2020, 3:51 pm
For September we have provided a monthly recap of insurance regulatory COVID-19 updates. [read post]
1 Oct 2020, 7:01 am
On August 31, 2020, the Massachusetts Superior Court confirmed a Financial Industry Regulatory Authority (“FINRA”) Arbitration Award against Credit Suisse for more than $2 million owed to four former Credit Suisse advisors represented by Lax & Neville LLP, including approximately $1.6 million in unlawfully withheld deferred compensation, more than $83,000 in costs and more than $411,000 in attorneys’ fees. [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
Former financial advisor Gerald Eaton has been allegedly barred for fraudulently facilitating distributions from his clients’ accounts without their knowledge or consent, according to publicly released records by the Financial Industry Regulatory Authority (FINRA). [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
Former financial advisor Gerald Eaton has been allegedly barred for fraudulently facilitating distributions from his clients’ accounts without their knowledge or consent, according to publicly released records by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Sep 2020, 12:36 pm
In June, the Financial Industry Regulatory Authority’s (FINRA) indefinite suspension of Sanchez Rivera went into effect. [read post]
30 Sep 2020, 7:46 am
For example, Jared Bernstein, former chief economist to Vice President Joe Biden, has recommended a tax on financial markets to fund all national statistical programs using the model of the Securities and Exchange Commission. [read post]
30 Sep 2020, 6:32 am
Another panelist noted that the Dodd-Frank Act may offer authority to enact similar standard setting rules in the financial sector. [read post]
29 Sep 2020, 12:35 pm
He was recently named in two customer disputes filed in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
28 Sep 2020, 1:09 pm
The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and…Read the Full Press ReleaseHave a securities law question? [read post]
25 Sep 2020, 12:49 pm
Here's a look behind eight years of alleged conspiracy (Bloomberg by Tom Schoenberg)Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests (SEC Filing)Financial Planner Sentenced To… [read post]
25 Sep 2020, 12:34 pm
Investor’s FINRA Arbitration Claim Seeks Damages of Up to $100K A Florida retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm, National Securities Corp. [read post]
25 Sep 2020, 12:32 pm
FINRA Expungement Process Changes According to Investment News this week, the Financial Industry Regulatory Authority (FINRA) submitted a proposal to the Securities and Exchange Commission on Tuesday, requiring experienced arbitrators with training in expungement to hear requests that come after an arbitration case has been settled without an award or those with no underlying case. [read post]
23 Sep 2020, 4:58 pm
Roger Duval, Pruco Securities, Bellevue, Washington FINRA Reportedly Bars Roger Duval after Allegations of Converting Customer Funds According to the public records from the Financial Industry Regulatory Authority (FINRA), on September 19, the regulator has reportedly barred Roger Allan Duval (Roger Duval) from associating with any FINRA member at any time. [read post]
23 Sep 2020, 2:00 pm
Stockbroker Marshall Owen Isaacson Named in Four Customer Complaints Since 2019 The Financial Industry Regulatory Authority (FINRA) recently barred Marshall Owen Isaacson, an ex- Newbridge Securities stockbroker based out of Boca Raton, Florida. [read post]
22 Sep 2020, 12:35 pm
At the time, the recourse granted to Ross was to file an arbitration complaint against Bear Stearns through the Financial Industry Regulatory Authority, Inc. [read post]
22 Sep 2020, 12:35 pm
At the time, the recourse granted to Ross was to file an arbitration complaint against Bear Stearns through the Financial Industry Regulatory Authority, Inc. [read post]
22 Sep 2020, 12:15 pm
FINRA Suspends Waco, Texas Broker For 18 Months Two investors have filed Financial Industry Regulatory Authority (FINRA) arbitration complaints against Michael Allen Kamperman, who was most recently a former HD Vest Investment Services registered representative. [read post]
