Search for: "Financial Industry Regulatory Authority"
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7 Jan 2020, 9:19 am
James Thomas Booth Of LPL Financial Barred From Securities Industry For Operating Ponzi Scheme James Thomas Booth (CRD# 1906145), the founder of Booth Financial Associates and a registered representative with LPL Financial LLC in Norwalk, Connecticut has been permanently barred by the both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) from acting as a broker or investment… [read post]
27 May 2020, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodemer was terminated by his prior employer, Stifel, Nicolaus & Company, Incorporated (Stifel, Nicolaus) concerning his theft and misappropriation of client funds. [read post]
7 May 2010, 2:36 am
Regina (Association of the British Pharmaceutical Industry) v Medicines and Healthcare Products Regulatory Agency, The NHS Confederation (Employers) Co Ltd, interested party Case C-62/09 Court of Justice of the European Union “European Union law did not prevent national health authorities from introducing financial incentive schemes aimed at replacing the prescription of certain medicines by other and cheaper named medicines in the same therapeutic class,… [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
21 Apr 2018, 5:02 am
FINRA Bogarts the Weed In Medical Marijuana SettlementApril 20, 2018Another day and another idiotic Outside Business Activities Rule regulatory settlement between the Financial Industry Regulatory Authority a... [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
4 Oct 2018, 2:24 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Chiellini’s customer complaints allege that Barber made unsuitable recommendations in certain corporate debt or other securities. [read post]
6 Feb 2019, 7:05 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Makharia’s customer complaints allege that Makharia made unsuitable recommendations in a variety of investments including debt securities. [read post]
25 Oct 2018, 9:49 am
Charla Kabana – LPL Financial – Huntington Beach, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred California financial advisor Charla Kabana from the securities industry. [read post]
13 Dec 2019, 12:38 am
SDDCO BROKERAGE ADVISORS, LLC, Respondent-Appellee, and FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., Respondent (Order, 2Cir)SEC Charges Recidivist Investment Adviser With ... [read post]
12 Jul 2012, 2:53 pm
The Financial Industry Regulatory Authority (FINRA), the self-regulatory arm of the U.S. securities brokerage industry, has issued an Investor Alert regarding the features and risks of exchange-traded notes (“U.S. brokerage regulator warns of ‘unpleasant surprises’ on ETNs,” by Stuart Gittleman, Reuters). [read post]
22 Feb 2011, 9:01 am
For the third time in 15 months, the non-governmental securities industry regulator is searching for an Associate Director in its Office of the Ombudsman. [read post]
17 Feb 2021, 10:34 am
Unauthorized Trading and Abuse of Fiduciary Duty By Older Investor’s Grandsons A Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled that JP Morgan Securities (JPM) and its ex-brokers, Avi Elliot Schottenstein and Evan A. [read post]
8 Mar 2018, 5:26 am
As recently disclosed by the Financial Industry Regulatory Authority (“FINRA”), former Morgan Stanley (CRD# 149777) financial advisor, Kevin Scott Woolf (CRD# 6145312), has voluntarily consented to an industry bar. [read post]
10 Oct 2018, 10:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker William Brunner (Brunner) has been subject to five customer complaints, one bankruptcy, two regulatory actions, and one termination for cause. [read post]
12 Jun 2012, 6:46 am
In Regulatory Notice 12-08, effective January 26, 2012, the Financial Industry Regulatory Authority (IFNRA), citing the regulations of the Financial Crimes Enforcement Network (FINCEN) regarding Suspicious Activity Reports (SAR’s), now requires brokerage firms to make such SAR reports and supporting documents and information available to regulatory authorities. [read post]
