Search for: "Financial Industry Regulatory Authority"
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2 Dec 2016, 8:45 am
On November 17, 2016, the Financial Industry Regulatory Authority, Inc. [read post]
10 Jan 2018, 11:01 am
The three-person, Financial Industry Regulatory Authority (FINRA) arbitration panel also decided to permanently enjoin and restrain Grimes from making any false and disparaging comments, written or verbal, of any kind regarding Sexton and his family, after Sexton claimed that Grimes, his former partner, along with Morgan Stanley, “interfered with his business and economic relations, libeled him, intentionally inflicted emotional distress on him and his… [read post]
27 Dec 2011, 10:49 am
(Citigroup) issued by a Financial Industry Regulatory Authority (FINRA) arbitration panel in April. [read post]
16 Dec 2011, 7:01 am
The Financial Industry Regulatory Authority (FINRA) announced that is has fined Wells Fargo Investments, LLC (Wells Fargo) $2 million related to the sales of unsuitable reverse convertible notes to elderly customers. [read post]
28 Dec 2017, 7:47 am
Last week, Merrill Lynch was fined a total of $26 million by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) alleging failures in reporting “suspicious” transactions, according to documentation obtained by Reuters. [read post]
10 Apr 2017, 8:43 am
The investment attorneys of Gana LLP are investigating customer complaints filed with Financial Industry Regulatory Authority (FINRA) against Christopher Paul Anthony (Anthony) for allegedly churning, failing to supervise, and recommending unsuitable investments in products, such as Foreign stocks and Indexed Exchanged-Traded Funds or ETFs. [read post]
11 Nov 2011, 5:40 am
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley Smith Barney (Morgan Stanley) $1 million and ordered restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
15 Oct 2015, 3:36 pm
The Financial Industry Regulatory Authority (FINRA) fined six independent broker dealers who failed to give certain clients discounts on large purchases of non-traded REIT’s. [read post]
3 Jan 2018, 10:10 am
The Financial Industry Regulatory Authority (FINRA) once again has forced Citigroup to pay at least $11.5 million in fines and restitution due to claims that it displayed the wrong research ratings on more than 1,800 stocks. [read post]
4 Oct 2021, 1:56 pm
Iorio Altamirano LLP, a leading securities arbitration law firm, has filed a case through the Financial Industry Regulatory Authority (FINRA) against American Capital Partners. [read post]
20 Apr 2017, 1:49 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. [read post]
27 Oct 2016, 1:04 pm
As reported recently, the Financial Industry Regulatory Authority has commenced an investigation into the cross-selling activities of several broker dealers in the wake of the Wells Fargo fallout. [read post]
25 May 2010, 5:47 am
Investment firm Piper Jaffray & Co. has been fined $700,000 by the Financial Industry Regulatory Authority (FINRA) for email retention violations, related disclosure issues and supervisory and reporting violations. [read post]
28 Mar 2018, 9:51 am
The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Matthew Singer for failing to appear at a hearing in connection with a FINRA investigation. [read post]
10 Feb 2016, 6:08 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned J.P. [read post]
25 Nov 2014, 7:51 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has reportedly ordered a Houston-based wealth management company to pay 19 retirees a total of $3.8 million for mismanaging their investment accounts. [read post]
19 Jun 2012, 12:18 pm
The Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority's (FINRA) Rule 5123 on June 7, 2012. [read post]
6 Apr 2017, 6:25 am
FINRA (Financial Industry Regulatory Authority) issued an Investor Alert warning anyone involved in binary options trading through unregistered non-U.S. companies. [read post]
9 Feb 2018, 6:37 am
Scottsdale, Arizona-based Merrill Lynch broker Jonathan Rankin has customer complaints against him, according to his public records online with the Financial Industry Regulatory Authority (FINRA). [read post]
18 Apr 2017, 2:27 pm
Gana LLP’s securities fraud investigation has uncovered a complaint filed by the Financial Industry Regulatory Authority (FINRA) against broker Gerald O’Halloran (O’Halloran). [read post]
