Search for: "Financial Industry Regulatory Authority"
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28 Sep 2015, 8:59 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Michael Highfill (Highfill) (FINRA No. 2015045652501) resulting in a bar from the securities industry alleging that Highfill failed to provide FINRA staff with information and documents requested. [read post]
15 Oct 2019, 4:13 pm
FINRA Broker Disciplinary Action Report: October 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
16 Jan 2024, 5:00 am
Check out our Practical Guidance Author Center ! [read post]
12 Feb 2015, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker David Lavine (Lavine) concerning allegations that Lavine engage in private securities transactions also known as “selling away. [read post]
12 Sep 2011, 11:48 am
Excessive industry influence is a potential problem in many regulatory domains. [read post]
11 Nov 2014, 6:02 am
(Legend) on behalf of a customer with the Financial Industry Regulatory Authority (“FINRA”) alleging that Legend and Legend broker, Michael Guilfoyle, recommended unsuitable investments while churning his account and executing unauthorized trades in violation of FINRA rules and other applicable law. [read post]
29 May 2019, 6:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Shefer’s customer complaints allege that Shefer recommended unsuitable securities recommendations in a variety of products including options trading among other allegations of misconduct in the handling of customer accounts. [read post]
3 Dec 2018, 1:44 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Steinberg concern allegations of unsuitable investments. [read post]
9 Apr 2021, 10:05 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor David Hirons (Hirons), currently employed by Wedbush Securities Inc. [read post]
7 May 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Burdsall’s customer complaints allege that Burdsall invested them in a fraudulent private placement security or made unsuitable investments. [read post]
15 Feb 2021, 7:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Duggan’s customer complaints alleges that Duggan recommended unsuitable investments in various investments and makes allegations including common law fraud, gross negligence, breach of contract, and elder abuse among other allegations of misconduct relating to the handling of their accounts. [read post]
18 Oct 2019, 7:17 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Delhagen’s customer complaints alleges that Delhagen recommended unsuitable investments, negligence, fraud, misrepresentations, and breach of fiduciary duty among other allegations of misconduct relating to the handling of their accounts. [read post]
6 Oct 2018, 10:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Michna 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]
22 Nov 2018, 6:00 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Kelley concern allegations of unsuitable investments. [read post]
8 Oct 2018, 10:50 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Cavanagh concern allegations of unsuitable investments, breach of fiduciary duty, and fraud. [read post]
24 May 2019, 7:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bernstein’s customer complaints allege that Bernstein recommended unsuitable investments and securities among other allegations. [read post]
18 Mar 2019, 6:46 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Mathis’ customer complaints allege that Mathis made unsuitable recommendations in a variety of securities. [read post]
1 May 2019, 12:16 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Krapf’s customer complaints allege that Krapf made was negligent and breached his fiduciary duty to the customer. [read post]
25 Oct 2021, 7:20 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
1 Feb 2019, 8:10 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Salles customer complaints allege that Salles made unsuitable recommendations in a variety of investments including junk bonds, Puerto Rico bonds, and structured notes. [read post]
