Search for: "Financial Industry Regulatory Authority"
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6 Aug 2013, 9:58 am
According to the Financial Industry Regulatory Authority (FINRA), Mickelson is under investigation for deliberately concealing his outside business activity as a fund manager from the brokerage firm where he was a registered employee. [read post]
11 Jul 2012, 9:54 pm
According to a recent announcement by the Financial Industry Regulatory Authority (FINRA), the regulator has launched a new pilot program. [read post]
6 Aug 2013, 1:27 pm
On August 5, 2012 the Financial Industry Regulatory Authority (FINRA) announced that Oppenheimer & Co has been fined $1,425,000 for selling unregistered penny stocks and for failing to have implemented an adequate anti-money laundering (AML) program to detect suspicious transactions. [read post]
16 Nov 2011, 5:37 am
The Financial Industry Regulatory Authority (FINRA) has fined Chase Investment Services Corporation (Chase) $1.7 million and ordered it to pay more than $1.9 million to customers as restitution for losses caused by its recommendation of unsuitable unit investment trusts (UITs) and floating-rate loan funds. [read post]
31 Mar 2010, 6:09 am
FINRA, the Financial Industry Regulatory Authority, has announced that it has expelled Provident Asset Management, LLC, a Dallas-based broker-dealer, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme. [read post]
18 Aug 2010, 9:02 am
The Financial Industry Regulatory Authority (FINRA) has issued a warning to investors regarding high-yield investment programs (HYIPs), which are Internet-based Ponzi schemes. [read post]
21 Aug 2008, 2:47 pm
The Financial Industry Regulatory Authority says it has set up an arbitration process designed to resolve claims involving auction-rate securities. [read post]
10 Dec 2008, 12:12 am
The Financial Industry Regulatory Authority says that former World Group Securities representative David Olson was named in a customer complaint filed in October 2008. [read post]
29 Jul 2011, 12:59 pm
On July 26, 2011, the Financial Industry Regulatory Authority ("FINRA") announced that it fined SunTrust Robinson Humphrey ("SunTrust RH") and SunTrust Investment Services ("SunTrust IS") for violations in connection with the sale of auction rate securities ("ARS"). [read post]
26 Mar 2010, 3:15 pm
Provident Asset Management has officially been expelled by the Financial Industry Regulatory Authority (FINRA) for marketing a series of fraudulent private placements through its affiliate, Provident Royalties, LLC, in what the regulator calls a “massive Ponzi scheme. [read post]
30 Oct 2009, 12:56 am
This week, the Financial Industry Regulatory Authority announced that it is fining Scottrade $600,000 for failing to put into place and work with an adequate anti-money laundering program that would have allowed it to identify and report suspect transactions. [read post]
18 Apr 2012, 9:11 am
Earlier this month, a Financial Industry Regulatory Authority ("FINRA") arbitration panel awarded a customer $1.5 million, including $900,000 in punitive damages, against Dallas-based Cambridge Legacy Securities, LLC ("Cambridge"). [read post]
23 Jan 2012, 6:59 am
Last week, the Financial Industry Regulatory Authorized ("FINRA") issued Notice to Members 12-03 ("Notice") informing its members of the traits which may make an investment "complex," requiring heightened supervision and compliance procedures. [read post]
25 Apr 2012, 10:40 am
On April 13, after losing an arbitration claim in March for $1.5 million, Cambridge Legacy Securities LLC filed its withdrawal request with the Financial Industry Regulatory Authority (FINRA). [read post]
1 Nov 2007, 7:42 am
FINRA (Financial Industry Regulatory Authority) is warning investors to look out for "pump-and-dump" scams focusing on energy stocks. [read post]
17 Nov 2008, 9:31 pm
The Financial Industry Regulatory Authority Inc. says it is fining Citigroup Global Markets Inc. $300,000 for its failure to reasonably supervise the commissions that clients were charged for stock and options trades. [read post]
12 May 2015, 8:32 am
On May 6, 2015, the Securities and Exchange Commission approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or tick sizes–for stocks of some smaller companies. [read post]
27 Oct 2011, 2:23 pm
Securities and Exchange Commission announced that it has ordered the Financial Industry Regulatory Authority (FINRA) to hire an independent consultant and undertake other remedial measures to improve its policies and procedures for producing documents during SEC inspections. [read post]
18 Feb 2011, 5:18 am
., with the broker/dealer facing disciplinary action by the Financial Industry Regulatory Authority (FINRA) over sales of private placements gone bad. [read post]
15 May 2009, 3:43 pm
FINRA, the Financial Industry Regulatory Authority, which administers most of the securities arbitrations filed in the U.S., released its case filing statistics as of April 2009. [read post]
