Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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30 Jul 2015, 3:01 pm
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Adrian S. [read post]
8 Mar 2012, 9:55 am
The Financial Industry Regulatory Authority Inc. is thinking of giving up its proprietary lock on BrokerCheck information. [read post]
13 Jun 2017, 2:18 pm
Gana LLP’s investment fraud attorneys are looking into multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Rodger James Burskey (Burskey) that led to a regulatory action by FINRA. [read post]
9 Sep 2020, 6:06 am
Hoffman) (CRD# 3193754) has been barred from the securities industry following his failure to provide documents and information in a Financial Industry Regulatory Authority (FINRA) investigation into his suspension from employment for violation of company policies. [read post]
25 Jun 2015, 6:18 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Robert Tricarico (Tricarico) concerning allegations that Tricarico failed to respond to the regulator’s requests to provide information and documents concerning the an investigation into claims that Tricarico may have stolen money from clients. [read post]
Portland Investor Files $500K Private Placement Fraud Claim Against Western International Securities
14 Apr 2021, 8:43 am
Claimant Alleges Overconcentration, Unsuitability, Failure to Supervise A Portland, Oregon semi-retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. and is seeking up to $500K in damages. [read post]
16 Apr 2020, 12:37 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), McHale’s customer complaints alleges that McHale recommended unsuitable investments in various investments including allegations of concentrations in biotech stocks and low cap stocks among other allegations of misconduct relating to the handling of their accounts. [read post]
24 Feb 2012, 2:44 pm
According to the Financial Industry Regulatory Authority (FINRA) CRD, Aaron Donald Vallett was registered with FINRA member firms from December 2001 until June of 2010. [read post]
16 Dec 2013, 4:53 am
Gevorg Daldumyan was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he failed to appear for testimony concerning condominium cooperative investments. [read post]
31 Oct 2013, 8:04 am
The Financial Industry Regulatory Authority (FINRA) filed a civil enforcement action on October 18, 2013 against Bambi Holzer, a formerly registered broker and investment advisor in Beverly Hills, California. [read post]
29 Nov 2011, 9:42 am
The Financial Industry Regulatory Authority has ordered another 10 individuals and 8 financial firms to pay $3.2M in restitution to clients who were sold interest in risky private placements that were issued by DBSI, Inc., Medical Capital Holdings, Inc., and Provident Royalties, LLC. [read post]
28 Jul 2010, 6:49 pm
A Financial Industry Regulatory Authority arbitration panel is ordering Raymond James & Associates Inc. and Raymond James Financial Services Inc. to buy back $2.5M in auction-rate securities from an investor. [read post]
18 Jun 2010, 9:36 pm
Dallas-based securities firm Cullum & Burks Securities Inc. has had its license suspended by the Financial Industry Regulatory Authority Inc. [read post]
9 Nov 2021, 7:18 am
FINRA Bars Broker David Melilli after Allegations of Excessive, Unsuitable Trades According to the Financial Industry Regulatory Authority (FINRA), on November 8, 2021, the regulator has barred former Sagepoint Financial advisor David Melilli of Moorestown, New Jersey after he reportedly refused to provide information in its investigation. [read post]
6 Oct 2022, 9:56 am
Barclays Sanctioned for Best Execution Violations and Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined Barclays Capital Inc. [read post]
17 Nov 2008, 9:31 pm
The Financial Industry Regulatory Authority Inc. says it is fining Citigroup Global Markets Inc. $300,000 for its failure to reasonably supervise the commissions that clients were charged for stock and options trades. [read post]
1 May 2019, 12:16 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Meier’s customer complaints allege that Meier made was negligent, breached his fiduciary duty, and made unsuitable investments in penny stocks and low priced securities. [read post]
3 Jul 2019, 7:37 am
Our publisher, Bill Singer, doesn't argue the point; however, Bill does use this case as an opportunity to take FINRA to task for playing hide-and-seek with some "BS".Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, CV… [read post]
5 Apr 2022, 12:18 pm
Investors’ Worked With Ex-McNally Financial Broker Michael O’Meara An older couple from Washington State has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against McNally Financial Services and its former broker Michael Charles O’Meara. [read post]
24 Oct 2014, 3:26 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Financial America Securities, Inc. [read post]
