Search for: "Financial Industry Regulatory Authority"
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23 Aug 2010, 10:11 am
Johnson of the Superior Court of Fulton County, Georgia, confirmed and upheld a December 2009 award issued by an Atlanta-based Financial Industry Regulatory Authority (FINRA) arbitration panel ordering SunTrust Robinson Humphrey, Inc. [read post]
7 Jun 2010, 7:22 pm
The Financial Industry Regulatory Authority is fining Piper Jaffray & Co. $700,000 for violations related to the investment bank’s alleged failure to maintain about 4.3 million emails from November 2002 through December 2008 and for neglecting to tell FINRA about the issues it was having with email retention and retrieval. [read post]
13 Mar 2015, 11:50 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has ordered Brookville Capital Partners LLC, based in Uniondale, NY, to pay full restitution of more than $1 million to victims and fined the firm $500,000 for fraud in connection with sales of a private placement offering. [read post]
23 Aug 2014, 10:07 am
Back in Decmeber 2013, the law offices of Gana LLP reported that “Former Ryan Beck and Oppenheimer Financial Advisor William Bucci Barred From the Financial Industry” where we reported that The Financial Industry Regulatory Authority (FINRA) barred Bucci for allegedly accepting 19 personal loans totaling $635,000 from nine customers in violation of FINRA rules. [read post]
14 Jun 2021, 9:51 am
” Texas has taken a deliberated approach towards evaluating virtual currency activity under the state’s financial services regulatory framework. [read post]
31 Jan 2019, 12:58 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Abramowitz’s customer complaints allege that Abramowitz made unsuitable recommendations in a variety of investments including equities including energy related stocks. [read post]
29 May 2020, 11:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Santiago’s customer complaints alleges that Santiago recommended unsuitable investments and account mismanagement among other allegations of misconduct relating to the handling of their accounts. [read post]
4 Jan 2019, 8:30 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Walker concern allegations over variable annuity sales practices. [read post]
24 Sep 2017, 7:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Wyman (Wyman), in January 2017, was barred by FINRA over his failure to respond to FINRA inquiries. [read post]
26 Oct 2015, 7:16 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Eric Wegner (Wegner) has been the subject of at least 5 customer complaints and two financial disclosures. [read post]
22 Dec 2018, 8:23 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Sean Kelly (Kelly), in October 2018, was accused by the Securities and Exchange Commission (SEC) of stealing more than $1 million from his clients. [read post]
6 Mar 2021, 8:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kevin Dziubela (Dziubela), currently employed by National Securities Corporation (National Securities) has been subject to at least three customer complaints during the course of his career. [read post]
10 Oct 2018, 10:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Valenzuela concern excessive trading of unit investment trust (UITs) securities. [read post]
13 May 2017, 8:36 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Babyak (Babyak), formerly associated with brokerage firms LPL Financial LLC (LPL) and Leigh Baldwin & Co., LLC (Leigh Baldwin). [read post]
19 May 2019, 11:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Anderson (Anderson), formerly associated with Ameritas Investment Corp. [read post]
24 Nov 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Dexter Thomas (Thomas), formerly associated with United Planners Financial Services of America LP (United Planners) in Dallas, Texas has been accused by his former firm over unapproved securities and making client loans. [read post]
4 Jan 2019, 8:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Ralston concern allegations of unsuitable investments. [read post]
24 Nov 2018, 11:20 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Stimpson concern allegations of unsuitable investments in a put options trading strategy. [read post]
28 Jan 2020, 3:02 pm
According to BrokerCheck records, Agnihotri is currently registered with The Financial Industry Regulatory Authority (FINRA) member firm SW Financial. [read post]
3 Nov 2016, 2:13 pm
This article was originally posted on Stock Market Loss This summer, the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) both fined Merrill Lynch, the brokerage arm of Bank of America Corporation, for negligently failing to adequately disclose information in connection with the sale of a product called “Strategic Return Notes” (“SRNs”). [read post]
