Search for: "Financial Industry Regulatory Authority"
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14 Jun 2017, 12:51 pm
Parthemer was barred by the Financial Regulatory Industry Authority in 2015, but cases continue to be filed related to his time working in the industry. [read post]
8 Mar 2016, 1:08 pm
Lax & Neville LLP has nationally represented small broker-dealers, financial services professionals and securities industry companies in regulatory matters and securities-related and commercial litigation. [read post]
8 Jan 2010, 9:12 am
McGilvrey was fired from Next Financial in May 2009 for "borrowing money from a client," according to records with the Financial Industry Regulatory Authority (FINRA). [read post]
16 May 2019, 5:38 am
FINRA Broker Disciplinary Action Report: April 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]
23 Mar 2022, 9:44 am
Marc Reda Allegedly Recommended Unsuitable Trading Strategy to Clients According to a document posted this week by the Financial Industry Regulatory Authority (FINRA), Broker Marc A. [read post]
30 Mar 2018, 3:22 pm
Investors who suffered losses due to misconduct by financial advisor Ralph Savoie (CRD# 411660) may be able to recover their losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
4 Jun 2019, 11:22 am
According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly barred Anderson from the securities industry. [read post]
14 Oct 2019, 11:15 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Klinger from working in the securities industry after he allegedly refused to provide documents and information related to the purported termination explanation provided in his Form U5. [read post]
2 Apr 2015, 8:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Smith (Smith) concerning allegations that between October 2009 and January 2013, Smith mismarked as unsolicited order tickets for thousands of trades that were actually solicited by the broker. [read post]
17 Sep 2019, 12:37 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Donald E. [read post]
11 Jul 2018, 2:13 pm
According to BrokerCheck Records, Destefano has been subject to two terminations from employment and one regulatory action in which the Financial Industry Regulatory Authority (FINRA) sanctioned Destefano for various violations of the securities laws. [read post]
5 Feb 2020, 7:51 am
Kerry Dean Wills, who is also a registered investment advisor, was recently suspended for six months by the Financial Industry Regulatory Authority (FINRA) and ordered to pay a $10K fine over allegations of elder investment fraud. [read post]
9 Aug 2018, 12:30 pm
The US Court of Appeals for the Third Circuit [official website] ruled [opinion, PDF] Tuesday that banks must comply with the Financial Industry Regulatory Authority (FINRA) [official website] rules requiring the arbitration of all claims brought against them by customers, breaking from two 2014 decisions issued by the Second and Ninth [official websites] Circuits. [read post]
14 Dec 2007, 11:28 am
The Financial Industry Regulatory Authority (FINRA) says that Senate Majority Leader Harry Reid has sent to the White House the Democrats' choices to fill their two slots on the Securities and Exchange Commission. [read post]
27 Feb 2018, 9:07 am
However, these products have previously been the subject of several warnings by the Financial Industry Regulatory Authority (FINRA). [read post]
1 Jul 2019, 7:02 am
Bourgeois, formerly registered with Commonwealth Financial Network (Commonwealth Financial) out of Metairie, Louisiana has been barred by The Financial Industry Regulatory Authority (FINRA) for failing to answer questions concerning his conduct. [read post]
30 Apr 2010, 9:50 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded damages to the Gale family as a result of losses sustained in Lehman-backed Main Street Natural Gas Bonds sold to them by their broker. [read post]
14 Apr 2015, 5:53 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, Clamant Ishii Family Trust asserted breach of fiduciary duty; failure to supervise; negligent misrepresentation; and respondeat superior in connection with Respondents Chan and Sagepoint Financial's alleged failure to purchase securities, among which were Apple, Goldman Sachs, Berkshire Hathaway, Kinder Morgan Energy, Ford and… [read post]
18 Jan 2017, 9:35 am
The Financial Industry Regulatory Authority has to make up its mind. [read post]
27 May 2014, 9:06 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2013, registered person Pettijohn sought the expungement of an auction rate securities (“ARS”) customer complaint from his Central Registration Depository records ("CRD") record. [read post]
