Search for: "Financial Industry Regulatory Authority"
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31 Dec 2018, 7:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the many of the customer complaints against Hughes concern allegations over variable annuity sales practices and non traded real estate investment trusts (Non-Traded REITs). [read post]
20 Feb 2015, 3:19 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]
7 Dec 2017, 5:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in August 2017 a customer filed a complaint alleging that Stevens conduct breached his fiduciary duty, negligence, unsuitable investments, violations of Arizona’s Securities Fraud Statute, negligent misrepresentation, and breach of contract among other claims. [read post]
12 Nov 2013, 6:12 am
The Financial Industry Regulatory Authority (FINRA) suspended broker James Glenn Tallant (Tallant) for three months and fined him $15,000 including the disgorgement of $8,560.44 in commissions. [read post]
9 Oct 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Page (Page) has been the subject of at least three customer complaints over the course of his career. [read post]
22 Aug 2022, 9:01 pm
Industry leaders and regulatory authorities should engage with open minds and a willingness to discuss practical actions to mitigate current risks in the system while comprehensive legislation may yet be years away. [read post]
2 Jun 2020, 7:42 am
Financial Advisor Bob Korzik, Ameriprise Financial Services in Little Falls, NJ Robert Korzik Reportedly Suspended and Fined after Allegations of Selling Away According to public records on the Financial Industry Regulatory Authority (FINRA) website on May 26, 2020, the regulator has reportedly fined and suspended Robert Korzik (Bob Korzik) after he allegedly participated in and solicited Firm customers to invest in private securities… [read post]
11 Apr 2011, 10:50 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that misled some investors regarding the "principal protection" feature of the Lehman notes. [read post]
3 Nov 2016, 7:20 am
The Financial Industry Regulatory Authority Inc. has fined eight firms a total of $6.2 million and ordered five of them to pay another $6.3 million in restitution for failing to supervise the sales of variable annuities products. [read post]
27 Mar 2020, 4:00 pm
The US financial regulatory, consumer protection and enforcement supervisors are regularly issuing press releases and statements concerning the COVID-19 pandemic. [read post]
21 Oct 2021, 7:36 am
Deceased New York Broker Philip Incorvia May Have Defrauded Investors A retired couple living in Florida has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against broker-dealer Henley & Co. over losses they suffered while working with Philip Robert Incorvia as their registered financial advisor. [read post]
8 Mar 2022, 3:00 am
FINRA Arbitration Ruling Grants Largest UBS YES Award to Date A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a deceased investor’s family trusts $1.857M in their securities case against UBS Financial. [read post]
13 Jul 2022, 9:23 am
Two FINRA Arbitration Panels Order Firm To Pay UBS YES Customers for Their Losses In separate UBS Yield Enhancement Strategy (UBS YES) investor cases, two Financial Industry Regulatory Authority (FINRA) arbitration panels have awarded UBS Financial Services customers $1.18M and $1.4M, respectively. [read post]
23 Mar 2021, 12:48 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John O’Bannon for 15 business days over allegations that Mr. [read post]
12 May 2015, 12:59 pm
The Financial Industry Regulatory Authority (“FINRA”) has continued this trend, recently bringing charges against a number of member firms related to allegedly inadequate supervisory controls. [read post]
7 Nov 2016, 9:31 am
Each month, 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]
11 Dec 2015, 4:10 pm
According to the Financial Industry Regulatory Authority’s (FINRA) website, FINRA recently filed a complaint against Cantone Research and its President, Anthony J. [read post]
10 Dec 2015, 1:13 pm
According to the Financial Industry Regulatory Authority’s (FINRA) website, FINRA recently filed a complaint against Cantone Research and its President, Anthony J. [read post]
21 Nov 2022, 6:51 pm
Former San Francisco Financial Advisor Is Barred Following Over $100 Million in Investor Claims Filed Against JP Morgan Nearly a year after FINRA Lawyers, Shepherd Smith Edwards and Kantas (investorlawyers.com) won a $4 million Financial Industry Regulatory Authority (FINRA) arbitration claim against JP Morgan Securities, the former star broker involved, Edward Turley, has been now barred from the industry. [read post]
29 Aug 2010, 1:21 pm
The Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (NASD), is an independent regulator for securities firms whose chief role is to protect investors. [read post]
