Search for: "Financial Industry Regulatory Authority"
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5 Jun 2019, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Smith’s customer complaints allege that Smith recommended unsuitable securities recommendations in equity securities among other allegations of misconduct in the handling of customer accounts. [read post]
22 Jan 2019, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Williams’ customer complaints allege that Williams made unsuitable recommendations in a variety of investments. [read post]
9 Jan 2019, 7:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Mass’ customer complaints allege that Mass made unsuitable recommendations in a variety of investments including REITs, Puerto Rico bonds, and mutual funds. [read post]
26 Oct 2021, 5:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
9 Dec 2019, 5:34 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Schiano’s customer complaints allege that Schiano recommended unsuitable investments, and committed negligence, misrepresentations, and breach of fiduciary duty among other allegations of misconduct relating to the handling of their accounts. [read post]
26 Oct 2021, 5:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Viqas Akhtar (Akhtar) has at least three disclosable events. [read post]
30 Sep 2019, 5:42 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Moy’s customer complaints allege that Moy recommended unsuitable securities recommendations and misrepresented investments among other allegations of misconduct in the handling of customer accounts. [read post]
7 Jun 2019, 6:35 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Argyros’ customer complaints allege that Argyros recommended unsuitable securities recommendations in a variety of products including unsuitable equities and warrants among other allegations of misconduct in the handling of customer accounts. [read post]
12 Jan 2019, 6:06 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Faust concern allegations of unsuitable investments in market linked notes. [read post]
21 Apr 2009, 5:29 am
The BMA has asked for comments from the industry by 29 May 2009.To see a full copy of the discussion paper, please click here.Roadmap to Mutual RecognitionIn this paper, the BMA reiterates its goal of achieving mutual recognition of the regulatory regime in Bermuda with those regimes in the US and Europe. [read post]
5 Jan 2016, 6:40 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Bernthal (Bernthal). [read post]
4 Apr 2016, 10:28 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Charles Geraci (Geraci). [read post]
22 Apr 2021, 7:33 am
The title also provides an overview of the Securities and Exchange Commission (SEC) and industry self-regulation under the Financial Industry Regulatory Authority (FINRA).Chapters include, “ Broker-Dealer Definitions and Registration Requirements”, “Exchange Trading and Market Making”, “Retail and Other Operations”, “Civil Liabilities”, and “Arbitration of Broker-Dealer Disputes”.Members can… [read post]
24 Mar 2014, 9:10 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, Claimant Fintegra alleged that former employee Respondent Lamb had breached the non-solicitation provision in his Fintegra employment agreement and that Respondent Hennion & Walsh had aided, abetted and conspired with Lamb. [read post]
22 Jan 2018, 4:33 am
It's an interesting seven-year journey from customer complaint to a FINRA Arbitration Decision, and an intriguing exercise in how the pros and cons of such a case are weighed.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2017, Claimant Mink sought the expungement from his Central Registration Depository record (“CRD”) of... [read post]
24 Aug 2016, 8:17 am
Like I said, you may have needed to go to law school to fully appreciate the nuances of this mess but I'm guessing that lots of folks will still appreciate the ramifications of this somewhat historic ruling.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration St... [read post]
2 May 2014, 3:56 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regul... [read post]
5 Apr 2015, 7:39 am
In the end it's all somewhat entertaining, even if no clear winner emerges.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012 and as amended thereafter, Claimant Cassese asserted breach of contract, misrepresentations, failure to pay commissions, assessment of fraudulent, unnecessary, and inflated fees, and illegal wage deductions compensation under New York State Lab... [read post]
4 Dec 2018, 4:45 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2018, and as amended thereafter, associated person Claimant Chebuske sought the expungement of a customer complaint, which is referenced in the FINRA Arbitration Decision as "Occurrence Number 1078387.. [read post]
19 Dec 2016, 3:07 am
Someone's not.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2015, former Zion’s Direct, Inc. employee Claimant Howard asserted breaches of contract and the implied covenant of good faith and fair dealing; wrongful termination; and the filing of a false Uniform Termination Notice for Securities ... [read post]
