Search for: "Financial Industry Regulatory Authority"
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10 Aug 2020, 9:22 am
Financial Advisor Sylvester Knox, Merrill Lynch, Boston, MA FINRA reportedly suspended Sylvester Knox over alleged unauthorized trading and failure to disclose a felony indictment According to Financial Advisor IQ today, citing a Letter of Acceptance, Waiver and Consent (AWC), the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Sylvester Knox over allegations of unauthorized trading and failure to… [read post]
10 Aug 2020, 4:00 am
Robert Frank Spiegel of Staten Island, New York 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 excessive and unsuitable trading in violation of FINRA Rules 2111 and 2010. [read post]
9 Aug 2020, 8:35 am
For example, the Dow Jones Industrial Average dropped over 5.3% that day. [read post]
7 Aug 2020, 10:45 am
Filing a Complaint Against your Brokerage Firm Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
7 Aug 2020, 9:38 am
The proposed legislation also would establish quorum requirements, the authority of the Chair, and limitations on that authority. [read post]
7 Aug 2020, 4:00 am
Park Avenue Securities in New York, New York, 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 customers who purchased mutual fund shares received the benefit of applicable sales charge… [read post]
6 Aug 2020, 2:55 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]
6 Aug 2020, 9:08 am
According to the Financial Industry Regulatory Authority (FINRA)on June 5, 2020, “the state of New Hampshire is conducting an investigation into certain trading practices of Mr. [read post]
6 Aug 2020, 7:14 am
According to an Aug. 4 report from Indian news website Moneycontrol, authorities in India are making preparations to pass a law banning cryptocurrency trading. [read post]
5 Aug 2020, 4:00 am
Mason Wayne Gann of Dallas, Texas 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]
4 Aug 2020, 1:21 pm
Financial Advisor Stanley Secor, Cetera Advisor Networks, Salt Lake City, NV FINRA Reportedly bars Stanley Secor after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Stanley Secor (CRD#: 1982414) from associating with any FINRA member at any time after he allegedly failed to provide information in FINRA’s… [read post]
3 Aug 2020, 1:36 pm
He had been in the industry since 1976. [read post]
3 Aug 2020, 1:07 pm
The Financial Industry Regulatory Authority’s (FINRA) Rules On Selling Away FINRA Rule 3280 governs how brokers should handle any private securities transactions. [read post]
3 Aug 2020, 6:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Hoffman was employed by his prior employer Ameriprise Financial Services (Ameriprise) prior to being investigated concerning his activities. [read post]
3 Aug 2020, 4:00 am
Castoriano of New Orleans, Louisiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he has been fined and suspended for allegedly engaging in unauthorized trading in violation of NASD Rule 2510(b) and FINRA Rule 2010. [read post]
1 Aug 2020, 12:47 am
Peachcap Securities is a member firm of the Financial Industry Regulatory Authority (FINRA) and David Miller was in the employment of the firm when he allegedly committed the acts alleged in the customer disputes. [read post]
1 Aug 2020, 12:47 am
Peachcap Securities is a member firm of the Financial Industry Regulatory Authority (FINRA) and David Miller was in the employment of the firm when he allegedly committed the acts alleged in the customer disputes. [read post]
31 Jul 2020, 12:08 pm
According to multiple sources familiar with the New Hampshire securities regulator’s investigation, the churning claims that alerted the regulator stem from two arbitrations filed before the Financial Industry Regulatory Authority (“FINRA”), one by former New Hampshire Governor Craig Benson and the other from Benson’s long-time friend and business partner, Robert Levine. [read post]
30 Jul 2020, 9:21 am
Regulatory guidance clarifying that approach would be tremendously helpful to the financial services industry, especially to provide more concrete guidance about the content, location and timing of such disclosures. [read post]
30 Jul 2020, 8:24 am
FINRA Bars Former Registered Representative Following Probe Into Accusations Bryant Edwin Caveness, an ex-Ameriprise Financial Services stockbroker, has been barred by the Financial Industry Regulatory Authority (FINRA) after he stopped cooperating in the self-regulatory organization (SRO)’s probe into his firing by the firm. [read post]
