Search for: "Financial Industry Regulatory Authority"
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1 Jul 2015, 1:50 pm
Leone (“Leone”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. [read post]
8 Aug 2023, 11:25 am
According to The Financial Industry Regulatory Authority two individuals from Fairfield, New Jersey–based Purshe Kaplan Sterling Investments, were allegedly engaged in trading activity that generated more than $2 million in commissions and markup charges for a client. [read post]
3 Jan 2020, 9:25 am
According to the Financial Industry Regulatory Authority (FINRA) on January 2, Stephen C. [read post]
18 May 2009, 3:25 pm
The Financial Industry Regulatory Authority (FINRA) announced on April 28, 2009 that it had fined Centaurus Financial, Inc., of Anaheim, California, $175,000 for Centaurus’s failure to protect confidential customer information. [read post]
27 Jun 2018, 6:34 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Feinsilver has been accused by a customers of unsuitable investment advice concerning recommendations to invest in Puerto Rico bonds. [read post]
26 Nov 2021, 1:13 pm
GPB Private Placements Were Sold Through Brokerage Firm’s AdvisorDirect® Service An investor recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against broker-dealer TD Ameritrade over losses sustained in GPB investments. [read post]
8 Sep 2021, 9:14 am
On September 7, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Santander Investment Securities Inc. [read post]
14 Apr 2021, 11:48 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Steven Schisler. [read post]
24 Jul 2018, 1:40 pm
Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000 due to Milakovich’s misconduct, including unsuitable recommendations, unauthorized trading, negligence, breach of fiduciary duty, and churning. [read post]
1 Mar 2021, 7:13 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against broker Megurditch Patatian (aka Mike Patatian) alleging that, while associated with Western International Securities, Inc., Mr. [read post]
3 Feb 2021, 1:00 am
Wealth Enhancement & Preservation CEO Named in Two Pending Investor Claims Triad Advisors stockbroker, Darrin Stuart Cohen, is currently the subject of two pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers collectively seeking $600K in damages. [read post]
30 Jun 2020, 12:16 pm
Crown Capital Securities Broker Was Recently Named in Four FINRA Arbitration Claims Dennis Haywood, a Crown Capital Securities broker, is now named in four customer disputes, all of which were filed in the last two months with the Financial Industry Regulatory Authority (FINRA). [read post]
17 May 2022, 7:21 am
Cetera Investment Services Broker Chang Vung Named in Six-Figure Non-Traded REIT Claim A self-employed New York investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services and its broker Chang Jen Vung. [read post]
14 Apr 2022, 1:35 pm
This retail customer has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim requesting damages for his losses. [read post]
9 Aug 2010, 7:02 am
FINRA (the Financial Industry Regulatory Authority) administers both mediation and arbitration programs for securities brokers, agents, and customers. [read post]
25 Nov 2020, 7:01 am
Wilcox, both First Republic Securities stockbrokers, have been named in a $1M Financial Industry Regulatory Authority (FINRA) arbitration claim against the firm over alleged losses from the Harvest Volatility Management Put Writing Strategy (Harvest PWS). [read post]
16 Jun 2022, 1:16 pm
Couple File FINRA Arbitration Claim Against Center Street Securities Seeking Up to $500K in Damages A Missouri couple in their 90s and 80s have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Center Street Securities and its broker Joseph Martin LaTour. [read post]
28 Jan 2021, 11:56 am
The Financial Industry Regulatory Authority, which regulates brokerage firms like Robinhood, T.D. [read post]
9 Jun 2021, 8:58 am
On June 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Titan Securities entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) whereby Titan Securities consented to a censure and $20,000 fine. [read post]
22 Sep 2020, 12:15 pm
FINRA Suspends Waco, Texas Broker For 18 Months Two investors have filed Financial Industry Regulatory Authority (FINRA) arbitration complaints against Michael Allen Kamperman, who was most recently a former HD Vest Investment Services registered representative. [read post]
