Search for: "Financial Industry Regulatory Authority"
Results 3321 - 3340
of 11,225
Sorted by Relevance
|
Sort by Date
8 Nov 2018, 7:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Mitchell Kurtz (Kurtz), formerly associated with Henley & Company LLC (Henley & Company) in Roslyn Heights, New York was terminated by the firm. [read post]
19 Sep 2018, 1:26 pm
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Goodman has been subject to three customer disputes, one of which is still pending. [read post]
10 Dec 2017, 6:59 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Heiden has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks including master limited partnerships (MLPs). [read post]
11 Jul 2012, 11:25 am
In a turn of events that illuminates what critics contend is the fundamental unfairness of arbitration proceedings, FINRA — the Financial Industry Regulatory Authority — has fired three arbitrators who found in favor of investors in a proceeding against Bank of America subsidiary Merrill Lynch in 2011. [read post]
30 May 2014, 5:54 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Robert Acri (Acri) concerning allegations that in December 2013, and January 2014, Acri failed to fully respond to a Rule 8210 request for documents and information concerning Acri’s sale of alternative investments and promissory notes. [read post]
3 Mar 2015, 7:38 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Cary Olson (Olson) concerning allegations that Olson made recommendations in non-traditional exchange-traded funds (ETFs) to several customers without having reasonable grounds to believe his recommendations were suitable in relation to the holding periods for the ETFs. [read post]
30 Mar 2015, 6:36 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Marcus Debaise (Debaise) has been the subject of at least 14 different customer complaints over the course of his career. [read post]
31 Oct 2023, 10:49 am
The FCA joins MAS, Singapore’s central bank, the Financial Services Agency of Japan and the Swiss Financial Market Supervisory Authority as part of the project. [read post]
6 Nov 2018, 10:38 am
The Financial Industry Regulatory Authority barred Camarco from the brokerage industry last year. [read post]
3 Feb 2017, 6:30 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Christopher Bond (Bond) currently associated with National Securities Corporation alleging Bond engaged in a number of securities law violations including that the broker made unsuitable investments and unauthorized trading among other claims. [read post]
13 Feb 2017, 6:20 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). [read post]
13 Feb 2017, 6:20 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Scott Palmer (Palmer). [read post]
16 Oct 2015, 8:11 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Schooler (Schooler) has been hit with at least 26 customer complaints over his career. [read post]
2 Dec 2015, 6:37 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Coffey has been the subject of at least 13 customer complaints, 2 judgments or liens, and 1 criminal matter. [read post]
13 Aug 2015, 6:27 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jerry McCutchen (McCutchen) has been the subject of at least 15 customer complaints and one judgment or lien. [read post]
26 Jan 2021, 12:59 pm
Advisor David Arthur Jenson, of Amarillo TX Barred from Securities Industry According to public records on the Financial Industry Regulatory Authority’s website today, the regulator has reportedly barred David Arthur Jenson (CRD# 1333734) from working in the securities industry. [read post]
10 Nov 2015, 4:59 am
Fundamental changes to the existing regulatory framework, as it affects foreigners, are not proposed in the draft law. [read post]
21 Oct 2020, 8:52 am
Financial Advisor Sean Refsnider, Ameriprise Financial Services in Haddon Heights, NJ FINRA Reportedly Bars Sean Refsnider after Allegations of Stealing Funds from Elderly Client According to ThinkAdvisor on October 16, The Financial Industry Regulatory Authority (FINRA) has reportedly barred ex-Ameriprise advisor, Sean Refsinider after he allegedly converted $42,000 from an elderly client for his own use. [read post]
15 Aug 2018, 12:38 pm
The recent Financial Industry Regulatory Authority (“FINRA”) announcement about federal enactment of a substantial piece of legislation that will likely delay close of some foreign direct investment (“FDI”) deals overseen by the Committee on Foreign Investment in the United States (“CFIUS”). [read post]
26 Nov 2009, 5:00 am
FINRA has not opposed this change, but some within industry have had other ideas (some within the Securities Industry and Financial Markets Association have registered opposition). [read post]
