Search for: "Financial Industry Regulatory Authority"
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12 Nov 2015, 6:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Turpin (Turpin) was recently discharge from Source Capital Group, Inc. [read post]
21 Jul 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred David Chu (Chu) concerning allegations Chu refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities and private securities transactions. [read post]
24 Apr 2015, 11:46 am
One thing is sure: the Financial Industry Regulatory Authority (FINRA) has barred Aaron Parthemer from associating with any FINRA member broker-dealer in any capacity for violating industry rules by participating in private securities transactions, outside business activities, and for making loans to his clients, according to FINRA Letter of Acceptance, Waiver and Consent No. 2011030405801 (AWC). [read post]
20 Feb 2020, 7:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Brinckerhoff’s customer complaints alleges that Brinckerhoff recommended unsuitable investments in various investments such structured products among other allegations of misconduct relating to the handling of their accounts. [read post]
21 Jul 2015, 10:59 am
On July 9, 2015, the Consumer Financial Protection Bureau (CFPB) issued a set of “consumer protection principles” for the financial industry as it develops new, faster payment processing systems. [read post]
22 May 2019, 10:17 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action against Patino concerns allegations over variable annuity sales practices. [read post]
30 Nov 2020, 7:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Palumbo was employed by Park Avenue through April 2020 when the firm permitted him to resign over these allegations. [read post]
26 Feb 2018, 12:53 pm
As you cruise around our website, you’re likely to see references to the Financial Industry Regulatory Authority, more commonly known by the acronym “FINRA”. [read post]
27 Nov 2017, 1:09 am
The circular focuses on internal controls and compliance and aims to provide the basis for unified regulatory standards for the financial industry. [read post]
23 Sep 2014, 9:16 am
The Financial Industry Regulatory Authority (FINRA) has been inundated with a plethora of claims in connection with the closed-end UBS Puerto Rico Bond Funds. [read post]
6 Dec 2013, 12:27 pm
According to new s release, the Financial Industry Regulatory Authority (FINRA) ordered broker-dealer J.P Turner & Co to pay more than $700,00 in restitution to customers. [read post]
16 Aug 2017, 10:59 am
Legend Securities Censured and Fined According to the Financial Industry Regulatory Authority, on June 22, 2017, an OHO Decision became final in which Legend Securities, Inc. [read post]
3 Jul 2018, 11:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), Barcomb has been subject to four customer disputes concerning unsuitable variable annuity recommendations and failure to conduct due diligence on private placement investments. [read post]
4 Oct 2020, 12:46 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Cline’s customer complaints involves the sale of private placements. [read post]
14 Oct 2020, 5:36 am
Publicly released records by the Financial Industry Regulatory Authority (FINRA) show that New Jersey former broker and investment adviser Jeffrey Broten was allegedly barred from FINRA. [read post]
14 Oct 2020, 5:36 am
Publicly released records by the Financial Industry Regulatory Authority (FINRA) show that New Jersey former broker and investment adviser Jeffrey Broten was allegedly barred from FINRA. [read post]
30 Sep 2009, 7:47 am
The Financial Industry Regulatory Authority (FINRA), which regulates securities firms and whose mission is to protect investors and educate them about the basic principles of investing, was a reckless market speculator, according to Randall Smith's September 25th article in the Wall Street Journal, "After 27% Fall, Finra Plays it Safe. [read post]
11 Apr 2021, 9:05 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Peter Ianace (Ianace) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs). [read post]
3 Oct 2018, 9:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Christopher Hibbard (Hibbard), formerly associated with Merrill Lynch, Pierce, Fenner & Smith, Incorporated (Merrill Lynch) in Louisville, Kentucky was terminated for cause by Merrill Lynch in January 2018 after the firm made allegations that Hibbard engaged in conduct including unauthorized transactions and theft. [read post]
2 Dec 2019, 5:55 am
According to BrokerCheck records, Carter is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Morgan Stanley. [read post]
