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12 Jul 2017, 12:02 pm
(Next Financial) broker Dion Padilla (Padilla) was subject to a regulatory action brought by The Financial Industry Regulatory Authority (FINRA) alleging Padilla effected an unauthorized purchase of a variable annuity for a customer and misrepresented that the investment was not a variable annuity. [read post]
7 Sep 2016, 11:48 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
7 Sep 2016, 11:48 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
10 May 2018, 11:10 am
According to the Financial Industry Regulatory Authority (FINRA)on May 9, the regulator barred former financial advisor James Knee from the securities industry. [read post]
10 Apr 2014, 6:52 am
The Financial Industry Regulatory Authority (FINRA) sanctioned Centaurus Financial, Inc., (Centaurus) concerning allegations that Centaurus failed to supervise the business activities of five representative in the dissemination of communications concerning the risks of certain private placements. [read post]
16 Sep 2014, 7:15 am
The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker Anthony Diaz (Diaz) concerning a host of industry violations. [read post]
26 Jan 2024, 1:40 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
10 Aug 2011, 6:19 pm
Citigroup Global Markets, Inc has been fined $500,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise and detect securities fraud committed by former Smith Barney sales assistant Tamara Moon who worked in the firm's Palo Alto, California, branch office. [read post]
7 Oct 2019, 8:52 am
King & Associates Inc., Albany, New York According to the public records on the Financial Industry Regulatory Authority’s (FINRA) website, on October 2, 2019, the regulator reportedly sanctioned C. [read post]
1 Sep 2020, 9:39 am
Narinder Singh, Farmer’s Financial Solutions, Sacramento, CA FINRA Bars Narinder Singh after Allegations of Fraudulent Investment Recommendations According to public records on August 28, 2020, the Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Narinder Kaur Singh (also known as Narinder Dutt) from associating with any FINRA member at any time after she reportedly refused to provide information in its… [read post]
1 Oct 2011, 4:08 pm
The Financial Industry Regulatory Authority (FINRA) ordered Raymond James & Associates, Inc. [read post]
31 Jan 2017, 8:22 am
In May 2016 Woodbury Financial Services, Inc. [read post]
9 Feb 2017, 4:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Linda Dowd. [read post]
9 Feb 2017, 4:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Linda Dowd. [read post]
9 Nov 2018, 9:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Stuckey’s customer complaints allege that Stuckey made unsuitable recommendations in different investments including variable annuities and energy stocks. [read post]
18 Jun 2021, 11:54 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Michael Giovannelli, who also goes by the name Michael Anthony. [read post]
12 Mar 2010, 8:41 am
In December 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed changes to the consolidated FINRA rulebook, which incorporated the National Association of Securities Dealers (“NASD”) rules on registration and qualifications. [read post]
30 Nov 2009, 2:39 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in November 2009: Lisa Ann Tomiko Nouchi of Fairfield, California, was suspended from association with any FINRA member in any capacity for 90 days and fined $10,000 for allegedly entering inaccurate and false customer information while she was employed at UBS Financial… [read post]
18 Jun 2009, 7:39 am
The Financial Industry Regulatory Authority is accusing Park Financial Group Inc., JP Turner & Co., and Legent Clearing LLC of inadequate anti-money laundering procedures. [read post]
2 Sep 2022, 6:54 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Melilli’s customer complaints allege that Melilli engaged in unauthorized trading and recommended unsuitable investments. [read post]
