Search for: "Financial Industry Regulatory Authority"
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16 Oct 2022, 3:50 am
Companies moving into law from outside of the legal services industry include Law on Call, which is the new legal subsidiary of a registered agent company authorized in the Utah sandbox. [read post]
18 Jul 2022, 10:56 am
” The panel will share their experiences in employee representation as it relates to industry rules set forth by the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC), respectively applying to financial professionals registered with broker dealer and investment advisory institutions. [read post]
6 Jun 2019, 12:44 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former LPL Financial advisor Philip Nalesnik after allegedly failing to disclose outside business activities to his former firm and refusing to participate in an investigation into his conduct. [read post]
10 Aug 2022, 8:54 am
FINRA Bars Robin Taliaferro, Irvine, CA, for Failure to Provide Information in its Investigation According to public documents, on July 15, 2022 the Financial Industry Regulatory Authority (FINRA) barred financial advisor Robin Taliaferro (CRD #442144) from working in the securities industry. [read post]
27 Dec 2011, 12:00 am
A number of critics have posed this question to the Financial Industry Regulatory Authority (FINRA), the country’s largest independent securities regulator which oversees over 4,500 financial brokerage and securities firms. [read post]
20 Sep 2017, 6:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Ryman has been accused by customers of unsuitable investment advice in a variety of securities including equities, private equity investment funds, and other types of investment vehicles. [read post]
20 Aug 2023, 4:04 pm
The months of June and July have seen a flurry of regulatory developments. [read post]
27 Apr 2016, 11:49 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against former National Securities Corporation (National Securities) broker John Labarca (Labarca). [read post]
28 Sep 2015, 8:58 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Rasheed a/k/a Richard Adams (Adams) (FINRA No. 2015045911001) resulting in a bar from the securities industry alleging that between July 2013, and June 2014, Adams engaged in unsuitable excessive trading and churning in two of his customers’ accounts. [read post]
12 Nov 2017, 9:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Keane has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks, master limited partnerships (MLPs), and business development companies. [read post]
18 Oct 2018, 12:48 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Puliafico has been accused by a customer of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
27 Jul 2018, 7:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Werthe has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
6 May 2019, 6:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Council has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
12 Sep 2018, 10:04 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Ginsberg has been subject to two pending customer disputes concerning unsuitable alternative investments. [read post]
19 Jun 2009, 3:53 am
In an effort to prevent another economic meltdown, President Barack Obama recently proposed the most sweeping financial regulatory system overhaul since the Great Depression. [read post]
26 Mar 2011, 11:25 am
The Financial Industry Regulatory Authority wants the District of Columbia Court of Appeals to reverse the D.C. [read post]
31 Oct 2023, 9:41 am
The duration of FINRA (Financial Industry Regulatory Authority) consumer arbitrations can vary widely depending on several factors, including the complexity of the case, the number of parties involved, and the availability of the arbitrators. [read post]
10 Aug 2009, 7:13 am
In addition to the SEC's notice, Morgan Keegan received a second Wells notice in July - this one from the Financial Industry Regulatory Authority (FINRA). [read post]
25 May 2012, 8:42 am
In January 2011, Nicole Cannava filed a Statement of Claim with the Financial Industry Regulatory Authority (FINRA) seeking $68,117 in compensatory damages plus interest, attorneys' fees, costs, and expungement of her Central Registration Depository (CRD) as a result of alleged libel on her Form U5 and for wrongful termination. [read post]
12 Jan 2019, 6:06 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Noel Carino (Carino), formerly associated with General Securities Corp., in November 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
