Search for: "Financial Industry Regulatory Authority"
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19 Aug 2020, 7:40 am
Breach of Fiduciary Duty Involving Retirement Fund Alleged Stephen Fergus Curry, a longtime Kestra Advisory Services registered representative, is named in a nearly $7.8M Financial Industry Regulatory Authority (FINRA) complaint accusing him of breach of fiduciary duty over services performed related to a retirement fund. [read post]
19 Aug 2020, 4:00 am
Western International Securities in Pasadena, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in Multiclass Mutual Fund Abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that eligible customers who purchased mutual fund shares received the benefit of… [read post]
19 Aug 2020, 4:00 am
Western International Securities in Pasadena, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in Multiclass Mutual Fund Abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that eligible customers who purchased mutual fund shares received the benefit of… [read post]
18 Aug 2020, 1:20 pm
FINRA Sanctions TPEG Securities for Failure to Timely File PPMs According to the Financial Industry Regulatory Authority (FINRA)on June 4, the regulator issued a Letter of Acceptance Waiver and Consent (AWC) to TPEG Securities, LLC (CRD #146726, Southlake, Texas) in which the firm was reportedly censured and fined $25,000. [read post]
17 Aug 2020, 1:17 pm
FINRA Bars Ex-Registered Rep, Who Wouldn’t Cooperate In Investigation Christopher Duke Bennett, an ex-Hilliard Lyons broker, is barred by the Financial Industry Regulatory Authority (FINRA). [read post]
17 Aug 2020, 9:39 am
Our investment fraud attorneys have been made aware that some of the investors in the Vida Longevity Fund have come to question Vida Capital Management, LLC’s business practices, and the preliminary results of our investigation have suggested that investors who have lost money with Vida Capital Management, LLC may be entitled to recover their losses through securities arbitration with the Financial Industry Regulatory Authority (FINRA) or by filing a lawsuit… [read post]
17 Aug 2020, 4:00 am
Martin of Glorieta, New Mexico submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in unauthorized transaction in violation of NASD Rule 2510 and FINRA Rule 2010. [read post]
17 Aug 2020, 4:00 am
Martin of Glorieta, New Mexico submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in unauthorized transaction in violation of NASD Rule 2510 and FINRA Rule 2010. [read post]
14 Aug 2020, 12:43 pm
A recent enforcement action offers a glimpse of the Financial Industry Regulatory Authority’s (“FINRA”) expectations for firms conducting anti-money laundering (“AML”) due diligence and transaction monitoring. [read post]
14 Aug 2020, 10:54 am
RIDTPA “quite broadly” exempts “actions or transactions permitted under laws administered by the department of business regulation or other regulatory body or officer acting under statutory authority of this state or the United States. [read post]
14 Aug 2020, 10:21 am
According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has sanctioned Morgan Stanley in connection with alleged failures to supervise one of its brokers who purportedly churned client accounts. [read post]
14 Aug 2020, 9:02 am
In the dispute, filed with the Financial Industry Regulatory Authority (FINRA) arbitration, the client is seeking $712K in compensatory damages. [read post]
14 Aug 2020, 8:48 am
In parallel actions, the Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA) hit Interactive Brokers with penalties of $11.5 million and $15 million, respectively. [read post]
14 Aug 2020, 4:00 am
Ross, Sinclaire & Associated in Cincinnati, Ohio submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which they were censured and fined $200,000 for allegedly failing to disclose information in violation of FINRA Rule 2010 by acting in contravention of Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
14 Aug 2020, 4:00 am
Ross, Sinclaire & Associated in Cincinnati, Ohio submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which they were censured and fined $200,000 for allegedly failing to disclose information in violation of FINRA Rule 2010 by acting in contravention of Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
13 Aug 2020, 10:48 am
According to a regulatory notice posted by the Financial Industry Regulatory Authority (FINRA), the regulator is warning member firms of a new imposter website www.finnra.org (please notice the extra “n” in the domain name). [read post]
12 Aug 2020, 11:10 am
Lyons, Louisville, KY FINRA Bars Christopher Duke Bennett for Failure to Cooperate with its Investigation According to Financial Advisor IQ, citing a document from the Financial Industry Regulatory Authority on August 6, 2020, the regulator has barred former J.J.B. [read post]
12 Aug 2020, 10:51 am
Bryant Caveness, Ameriprise Financial Services, Kingsport, TN FINRA Bars Bryant Caveness for Failure to Cooperate with its Investigation According to Financial Advisor IQ on July 27, citing a document from the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bryant Caveness for failure to provide information in its investigation into his “potential receipt of checks from senior… [read post]
12 Aug 2020, 4:00 am
Robert James D’Andria of Manasquan, New Jersey submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for unsuitable recommendations in violation of FINRA Rule 2111 and 2010. [read post]
10 Aug 2020, 4:49 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Parrelly (Parrelly), formerly associated with Investment Planners, Inc. [read post]
