Search for: "Financial Industry Regulatory Authority"
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4 Apr 2012, 7:05 am
A Financial Industry Regulatory Authority arbitration panel has ruled in favor of James Zeigon, a former executive for Deutsche Bank AG, in an investment loss case. [read post]
28 Sep 2022, 6:33 am
Broker-Dealers May Have Unsuitably Sold This Risky Investment To Retail Customers and Retirees If your broker recommended that you purchase shares in Atlas Growth Partners, LP, you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker-dealer. [read post]
8 Jun 2018, 11:30 am
Financial Industry Regulatory Authority (“FINRA”) is the non-governmental organization that regulates stockbrokers and brokerage firms. [read post]
3 Nov 2009, 11:14 am
Individual arbitration claims filed with the Financial Industry Regulatory Authority (FINRA) totaled 5,545 through Sept. 30 - up 60% from the same period last year. [read post]
22 Sep 2017, 7:19 am
The Financial Industry Regulatory Authority (FINRA) has moved to diversify its pool of new arbitrators dealing with investor disputes by increasing the numbers of both African American and women arbitrators in 2016. [read post]
19 Mar 2010, 7:07 am
Today the Financial Industry Regulatory Authority (FINRA) announced that it has expelled Provident Asset Management, LLC, the affiliate broker-dealer of Provident Shale Royalties that marketed the fraudulent Ponzi scheme private placement investments. [read post]
20 Dec 2017, 6:59 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), RNR Securities was fined and censured. [read post]
26 Jan 2012, 5:46 am
In a previous blog, we discussed the Financial Industry Regulatory Authority's (FINRA's) proposed Rule 2210 regarding social media. [read post]
18 Nov 2015, 2:08 pm
Without admitting to or denying the Financial Industry Regulatory Authority findings, Aigster consented that he failed to respond to FINRA’s request for documents information in connection with an investigation. [read post]
19 Oct 2021, 9:16 am
Popular With Retail Investors, Shell Companies That Raise Capital Through Own IPOs Can Be Risky The Financial Industry Regulatory Authority (FINRA) has started a thorough examination of the activities of brokerage firms in relation to special purpose acquisition companies (SPACs). [read post]
11 Nov 2021, 5:44 am
Iorio Altamirano LLP, a leading securities arbitration law firm, has filed a case through the Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services’ arbitration forum against Aegis Capital Corp. [read post]
2 Aug 2017, 3:40 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker Dan Droeg (Droeg). [read post]
5 Nov 2010, 3:37 pm
This week a Financial Industry Regulatory Authority (FINRA) arbitration panel ruled that UBS must buy back a retired couple’s structured notes backed by Lehman Brothers for the original cost of the notes - $529,688. [read post]
31 Jul 2017, 12:40 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Gregory Tucker. [read post]
16 Mar 2012, 12:48 pm
The Financial Industry Regulatory Authority (FINRA) reported that fines for false advertising have more than quadrupled from $4.75 million in 2010 to $21.1 million in 2011. [read post]
23 May 2018, 1:05 pm
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), EFG Capital violated securities laws. [read post]
30 Mar 2015, 12:25 pm
According to reports, the Financial Industry Regulatory Authority Inc. [read post]
20 Dec 2017, 7:02 am
The Financial Industry Regulatory Authority (FINRA) today fined Merrill Lynch $1.4 million for failing to establish a reasonable supervisory system and procedures to identify and evaluate extended settlement transactions, and for related rule violations. [read post]
1 Oct 2023, 7:45 am
On July 17, 2023, FINRA issued an AWC (Acceptance, Waiver, and Consent), resulting in Spartan Capital broker Murat Kartal’s suspension from association with any FINRA (Financial Industry Regulatory Authority) member for 10 months. [read post]
3 Apr 2018, 6:45 am
Public records published by the Financial Industry Regulatory Authority (FINRA) state that former Memphis, Tennesee-based Raymond James broker David Hydrick allegedly committed fraud, breached contract, converted funds, executed unauthorized trades, misappropriated funds, and breached the standards of commercial honor and principles of trade. [read post]
