Search for: "Financial Industry Regulatory Authority"
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27 Nov 2018, 5:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Schmidt (Schmidt), formerly associated with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) in Dayton, Ohio has been accused by the Securities and Exchange Commission (SEC) of misappropriating over $1.16 million from at least seven clients. [read post]
4 Oct 2022, 8:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Pecoraro (Pecoraro), associated with Spartan Capital Securities, LLC (Spartan Capital) has been subject to at least 11 customer complaint, six regulatory actions, and one judgement or liens during his career. [read post]
4 Feb 2017, 8:27 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Wendy Feldman (Feldman) currently associated with H. [read post]
1 Dec 2020, 12:48 pm
The Financial Industry Regulatory Authority (FINRA) barred Kubiak in October 2018 from working in the securities industry. [read post]
14 Mar 2012, 5:55 am
On March 6, a three-person arbitration panel of the Financial Industry Regulatory Authority (FINRA) awarded $2.1 million to a former client of a broker – William Swayne II – affiliated with the firm. [read post]
12 Jun 2017, 8:58 pm
In interviews with Reuters, the Financial Industry Regulatory Authority admitted that even though investors are harmed when broker-dealers hire brokers with checkered histories, there is not much that the regulator can do to stop this practice because it is not illegal. [read post]
7 Feb 2020, 11:41 am
According to BrokerCheck records, Armstrong was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Raymond James Financial Services, Inc (Raymond James). [read post]
25 May 2016, 7:54 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Peyton Jackson (Jackson). [read post]
3 Jul 2012, 8:34 am
The Financial Industry Regulatory Authority ("FINRA") announced a new voluntary pilot program for the administration of arbitration cases geared towards cases involving large monetary damages of $10 million or more ("Pilot"). [read post]
25 Aug 2015, 8:24 am
On August 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Rasheed (Richard) Adams (“Adams”), a former broker at Caldwell International Securities Corporation (“CISC”), was barred from the financial services industry for various violations of the securities laws, including, but not limited to, excessive trading and churning in his clients’ accounts and his failure to amend his… [read post]
25 Apr 2019, 12:33 pm
FINRA Suspends Broker James Bashaw for Allegedly Borrowing Money from Client According to The Financial Industry Regulatory Authority today, the regulator has suspended and fined James Bashaw, a former LPL Financial broker, for allegedly borrowing close to $200,000 from a client in 2013. [read post]
10 Jun 2015, 9:23 am
According to broker Adamson Wright’s (Wright) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently sanctioned concerning allegations that from May 2010 through February 2011, he effected approximately 249 mismarked order tickets as being “unsolicited” orders when the trades were “solicited” causing the firm to maintain inaccurate books and records. [read post]
2 Mar 2009, 4:59 am
The UK Treasury has proposed opening a new information gateway between the Financial Services Authority (FSA) and the Claims Management Regulator (CMR) so the two regulatory bodies can share information of mutual interest. [read post]
11 Feb 2010, 1:14 am
The Financial Services Authority (FSA) has recently confirmed, in a policy statement entitled "Publication of Complaints Data: including Feedback to CP09/21", that insurance companies and other financial institutions must publish information on how they handle complaints.Publication of this policy statement follows the FSA's previous consultation (Transparency as a Regulatory Tool and Publication of Complaints Data (CP09/21)), in July 2009, on… [read post]
28 Apr 2021, 6:35 am
FINRA Reportedly Suspends Fred Rock after Allegations of Selling Away According to public records provided by the Financial Industry Regulatory Authority (FINRA), the regulator has suspended broker Frederick Rock (CRD#: 2548242) of Tampa, Florida for five months after allegations of “selling away. [read post]
10 May 2016, 6:00 am
The Financial Industry Regulatory Authority (“FINRA”) recently released guidance on effective practices for financial services firms that provide digital investment advice services. [read post]
17 Apr 2019, 3:42 am
As recognized by new guidance from the Financial Industry Regulatory Authority (FINRA), the departure of a registered representative often prompts customer questions about the departing representative and the continued servicing of a customer’s account. [read post]
8 Aug 2013, 6:23 am
Introduction On July 8, 2013, the US Financial Industry Regulatory Authority, Inc. [read post]
11 Nov 2017, 9:05 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Leon Rehak (Rehak) has been subject to two customer complaints. [read post]
18 Jun 2010, 9:36 pm
Dallas-based securities firm Cullum & Burks Securities Inc. has had its license suspended by the Financial Industry Regulatory Authority Inc. [read post]
