Search for: "Financial Industry Regulatory Authority"
Results 3441 - 3460
of 11,225
Sorted by Relevance
|
Sort by Date
27 Dec 2017, 9:43 am
The Financial Industry Regulatory Authority (FINRA) recently fined J.P. [read post]
26 Mar 2018, 12:06 pm
The Financial Industry Regulatory Authority panel reportedly ordered the pair to pay James Mirgliotta and the estate of his late wife, Bette, $595,000 in compensatory damages and $250,000 in punitive damages. [read post]
29 Dec 2022, 9:05 pm
In lieu of our regular Friday feature—the Week in Review—The Regulatory Review is recapping some of the top regulatory news from the past year, including major U.S. [read post]
8 Dec 2017, 6:51 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Kenneth Jones (Jones), in May 2017, was terminated by his firm, Aegis Capital Corp. [read post]
30 Nov 2017, 7:05 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisors Clement Chichester (Chichester) and Brittney Sias (Sias), in October 2017, were terminated by their firm, Western International Securities, Inc. [read post]
20 Jan 2019, 7:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Hellman (Hellman), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
24 Feb 2016, 2:18 pm
The Financial Industry Regulatory Authority (FINRA) has announced that it barred broker George E. [read post]
18 Dec 2017, 2:06 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Masood Azad (Azad), in May 2017, was terminated by his employer First Allied Securities, Inc. [read post]
17 Apr 2015, 3:40 pm
Gallagher addressed the tenuous relationship between global and domestic regulation of the financial industry. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
18 Mar 2019, 11:17 am
FINRA Broker Disciplinary Action Report: March 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]
15 Mar 2021, 8:05 am
FINRA Reportedly Suspends Broker Jeffrey Stanga in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has suspended financial advisor Jeffrey D. [read post]
6 Jun 2019, 11:18 am
James Anderson, an ex-Ameritas Investment Corp. adviser, is now barred by the Financial Industry Regulatory Authority (FINRA) after he failed to participate in a probe into allegations that he had taken part in selling away. [read post]
20 Aug 2009, 7:23 am
This explosive growth prompted the Financial Industry Regulatory Authority (FINRA) to issue a warning to brokers in June that leveraged and inverse ETFs may not be an appropriate investment for long-term investors because returns can deviate from underlying indexes if held for longer than a day. [read post]
26 Jul 2018, 6:50 am
., Investment Centers of America, SSII Investments, INVEST Financial Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four National Planning firms for failure to establish, maintain and enforce a supervisory system in regards to variable annuities. [read post]
5 Aug 2019, 9:05 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Volpe from associating with any FINRA member at any time after he allegedly failed to provide information in its investigation. [read post]
13 Aug 2015, 11:41 am
Lee’s publicly available Financial Industry Regulatory Authority (FINRA) BrokerCheck report, he was “discharged for failing to disclose financial issues requiring Form U4 amendments, mismarking trade tickets, and placing securities trades away from AXA. [read post]
12 Dec 2017, 12:36 pm
Turner & Co. and VSR Financial Services to pay restitution According to The Financial Industry Regulatory Authority, the regulator has censured three former Cetera firms for selling Class A shares with a front-end load, or Class B or Class C shares to customers who were eligible for Class A shares without a load. [read post]
26 Oct 2017, 4:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Iraggi has been accused by customers of unauthorized trading among other claims. [read post]
