Search for: "Financial Industry Regulatory Authority"
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17 Jul 2017, 2:56 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2016 and as amended thereafter, public customer Claimants asserted violations of state and federal securitie... [read post]
6 Jan 2014, 3:13 am
Given those personality quirks of mine, I found the Financial Industry Regulatory Authority ("FINRA") arbitration discussed in today's BrokeAndBroker Blog to be interesting for three reasons:there’s the whole issue of whether Respondent Pan Interactive Brokers refused to execute a trade;there’s the even more intriguing question of whether the Respondent erroneously liquidated calls instead of puts; and,finally, how could you not be intrigued… [read post]
29 Nov 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4 Million as required restitution relative to unsuitable recommendations involving volatility-linked Exchange Traded Products (ETP’s) and related supervisory failures related to these investments. [read post]
25 Apr 2018, 3:11 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2016, FINRA member firm Ameriprise Financial Services, Inc. [read post]
5 Feb 2014, 5:58 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2012, former Raymond James associated person Fenyk sued his former employer for retaliation, discrimination based on disability and sexual orientation, and violation of the Vermont Fair Employment Practices Act. [read post]
30 Sep 2013, 7:28 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012, Claimant DiMercurio asserted failure to supervise; unauthorized trading; and lack of due diligence and/or churning in connection with her contentions that Respondent Stifel, Nicolaus & Company, Inc. had failed to supervise its financial advisor Harrison. [read post]
28 Jan 2015, 5:05 am
While still with Destiny's Child, Wall Street regulator Beyonce admonished: Say my name, say my nameYou actin' kinda shadyRumor has it that the diva was upset with the Financial Industry Regulatory Authority's often inexplicable policy about naming or not naming an affiliated bank of one of its larger member firms. [read post]
19 Dec 2013, 7:04 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2011, Claimant UBS Financial Services Inc. alleged a breach of promissory note by Respondent Atlas and sought $497,844.23 in compensatory dam... [read post]
4 Nov 2016, 6:02 am
What is more troubling about today's featured case, however, is the manner in which the Financial Industry Regulatory Authority conducted the mandatory arbitration. [read post]
28 Apr 2018, 12:07 pm
Consider a recent FINRA arbitration and how useful BrokerCheck would be in researching some of the named parties.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2016. [read post]
24 Oct 2016, 4:43 am
In the end, perhaps these failures are not the fault of the arbitrators as much as FINRA's culture of benign neglect, which fails to ensure quality control.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Stat... [read post]
8 May 2015, 7:16 am
On Monday, the Financial Industry Regulatory Authority Inc. filed a cease-and-desist order against a small brokerage firm for sales of equity in the firm and promissory notes. [read post]
26 Jan 2019, 2:24 am
Case In PointIn a Financial Industry Regulatory Authority Statement of Claim filed in June 2018, associated person Claimant Redferan sought the expungement of a customer complaint from his Central Registration Depository record ("CRD"). [read post]
4 Mar 2018, 5:40 am
In 2015, former Wells Fargo Advisors, LLC entry-level financial advisors Reagan Tucker, Benjamin Dooley, Marvin Glasgold, Livia Sappington, Ewa Kelly, and Patrick LaBorde filed putative class arbitrations before the Financial Industry Regulatory Authority (“FINRA”) and the American Arbitration Association (“AAA”) seeking unpaid overtime from Wells Fargo pursuant to the Fair Labor Standards Act (“FLSA”) and State wage and hour… [read post]
29 Apr 2013, 4:11 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2011, Claimant UBS asserted : breach of contract; common count for money lent; and common count for account stated, in connection with the firm’s effort to compel repayment of five promissory notes executed with former-employee Respondent Yrizarry, around April 30, August 9, and October 29, 2010; and January 13, and April 30, 2011. [read post]
15 Sep 2015, 2:49 am
This time, however, things get turned on their head amid allegations by the former employee that he was pressured to push insurance product -- and there was a stunning allegation that the firm's back-office and technology just weren't up to the task.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2013, Claimant Ameriprise Financial Services sought to recover the unpaid… [read post]
2 Oct 2014, 4:21 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013 and thereafter amended, Claimant Fernandez asserted breaches of contract and fiduciary duty; fraud; churning; and manipulation against Respondents Wells Fargo Securities, LLC and Deutsche Bank Securities, Inc... [read post]
20 Apr 2015, 3:51 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration S... [read post]
15 Jun 2012, 6:34 am
In a settlement agreement with the Financial Industry Regulatory Authority Inc. [read post]
14 Jan 2013, 7:17 am
The CFPB has issued its semiannual regulatory agenda which identifies seven regulatory matters that the CFPB “reasonably anticipates” having under consideration during the period from October 1, 2012 to October 1, 2013. [read post]
