Search for: "Financial Industry Regulatory Authority"
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9 May 2014, 9:14 am
The Financial Industry Regulatory Authority (FINRA) has determined that Charles Schwab & Co. [read post]
19 Apr 2023, 6:19 am
(“Insight Securities”) in Highland Park, Illinois, agreed to a censure and fine of $25,000 in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. [read post]
28 Nov 2017, 6:37 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against John Leonard (Leonard), working out of Toledo, Ohio. [read post]
5 Nov 2017, 7:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Wendel (Wendel), in September 2017, was terminated by his firm, SA Stone Wealth Management Inc. [read post]
24 Jun 2015, 7:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that between November 2011, and May 2012, while registered with Wells Fargo Advisors, LLC (Wells Fargo), Melzer solicited four customers to invest $2,000,000 in an outside investment without providing his firm notice. [read post]
12 Jun 2018, 6:53 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Oscar Francis (Francis), formerly associated with MML Investor Services, LLC (MML) in Ft. [read post]
10 Jul 2017, 6:57 am
According to BrokerCheck records Brian Murphy (Murphy) has been sanctioned and barred by The Financial Industry Regulatory Authority (FINRA) over allegations that the broker failed to respond to the regulator’s requests for information. [read post]
8 Nov 2017, 4:48 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Anthony Vultaggio, Jr. [read post]
21 Jan 2017, 11:21 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Adam Estes (Estes). [read post]
16 May 2016, 4:32 pm
The investment lawyers of Gana LLP are investigating at least four customer complaints brought before the Financial Industry Regulatory Authority (FINRA) against John McGinnis (McGinnis) working out of Escondido, California alleging the sale of promissory notes, private placements, and private loans. [read post]
15 May 2015, 10:58 am
The Financial Industry Regulatory Authority (FINRA) has permanently barred Nicholas Hansen Harper. [read post]
12 Apr 2020, 7:27 am
Puente was barred by The Financial Industry Regulatory Authority (FINRA) concerning his private securities sales conduct. [read post]
15 Oct 2018, 1:00 pm
FINRA Broker Disciplinary Action Report October 2018Each 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]
31 Mar 2022, 8:46 am
FINRA Reportedly Suspends Aegis Broker Scott Hananel for Excessive, Unsuitable Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended Scott Neil Hananel (CRD#: 3080827) for 15 months and fined him $7,500 in connections with allegations that he engaged in excessive and unsuitable trading in Aegis accounts of six of his customers between July 2014 and December 2018. [read post]
Former Wells Fargo Brokers Barred for Recommending Risky Over-Concentration in Oil & Gas Investments
14 Dec 2017, 4:04 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred former Wells Fargo (CRD# 126292) financial advisors Charles Henry Frieda (CRD# 5502319) and Charles B. [read post]
6 Jun 2018, 3:28 pm
If you invested in Woodbridge Units or Notes, as further defined below — based upon a recommendation by financial advisor Frank Capuano — you may be able to recover your losses through securities arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
5 Oct 2009, 4:03 am
In September, the Financial Industry Regulatory Authority (FINRA) announced that Robyn Lynn O'Hara, formerly of WFG Investments, had been barred from FINRA for securities violations. [read post]
12 Oct 2013, 11:46 am
The Financial Industry Regulatory Authority (FINRA) fined brokerage firm Financial West Investment Group, Inc. d/b/a Financial West Group (Financial West Group) over allegations between March 2009 and May 2010, the firm did not provide accurate variable annuity disclosures to customers concerning certain fees and charges. [read post]
2 Jul 2019, 7:42 am
(SagePoint Financial) and MML Investors Services, LLC (MML Investors) out of Fort Lauderdale, Florida was barred from the financial industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
10 Jan 2019, 12:53 pm
8 Firms hit with FINRA Fines in 2018 According to Investment News, the Financial Industry Regulatory Authority (FINRA) hit the following 8 firms with multi-million dollar fines in 2018. [read post]
