Search for: "Financial Industry Regulatory Authority"
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12 Jun 2012, 6:46 am
In Regulatory Notice 12-08, effective January 26, 2012, the Financial Industry Regulatory Authority (IFNRA), citing the regulations of the Financial Crimes Enforcement Network (FINCEN) regarding Suspicious Activity Reports (SAR’s), now requires brokerage firms to make such SAR reports and supporting documents and information available to regulatory authorities. [read post]
21 Mar 2023, 7:46 am
Financial Industry Regulatory Authority Central Registration Depository (CRD) Database FINRA CRD stands for Financial Industry Regulatory Authority Central Registration Depository. [read post]
9 Dec 2016, 7:25 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Cary Kievman (Kievman) alleging unsuitable investments and over concentrated positions among other claims. [read post]
10 May 2021, 8:55 pm
On 7 May 2021, the Financial Services Regulatory Initiatives Forum (Forum) published the third edition of the regulatory initiatives grid. [read post]
6 Sep 2016, 3:04 pm
Resch is currently registered to sell securities with LPL Financial LLC in the broker-dealer’s Morristown, New Jersey office, according to her publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Jun 2024, 10:52 am
As a registered broker-dealer, David Lerner Associates falls under the regulatory purview of the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
29 Mar 2021, 12:04 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Victor A. [read post]
29 Mar 2021, 12:53 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Charles Thomas Stevens from the securities industry for failing to appear and provide on-the-record testimony. [read post]
10 Aug 2018, 12:55 pm
Herrera – UBS Financial Services – Coral Gables, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Alex G. [read post]
22 Sep 2016, 7:04 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Woodbury Financial Services, Inc. [read post]
25 Aug 2015, 10:41 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
22 Apr 2023, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
9 Dec 2021, 11:41 am
The Financial Industry Regulatory Authority (FINRA) has a rule in place prohibiting a broker from borrowing or lending money to customers in most instances. [read post]
12 Sep 2022, 12:23 pm
Sagepoint Reportedly Sanctioned for Supervisory Failures involving Unsuitable use of Margin According to public disclosures, the Financial Industry Regulatory Authority (FINRA) has reportedly censured and fined Sagepoint Financial $35,000 for supervisory failures on September 9, 2022. [read post]
11 Jul 2022, 10:52 am
FINRA Bars David Karandos, Dinosaur Financial, after Allegations of Unsuitable Investments According to a Letter of Acceptance Waiver and Consent on July 7 , the Financial Industry Regulatory Authority (FINRA) has reportedly barred David Michael Karandos (CRD#: 1934119) after he consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA. [read post]
15 Sep 2013, 11:04 am
The Financial Industry Regulatory Authority (FINRA) has barred Ralph Saviano (Saviano) from the securities industry after the broker failed to respond to FINRA’s requests for information and an interview concerning unreported tax liens, a civil judgment, and a customer complaint involving the misuse of funds. [read post]
17 Aug 2022, 7:00 am
Customer of Former New York Financial Advisor Is Requesting Over $850K in Damages In July 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred Joseph Albert Ambrosole after he refused to testify in the self-regulatory organization’s (SRO) probe. [read post]
13 Feb 2023, 7:20 am
Fortune Financial Allegedly Unsuitably Recommended Variable Annuities According to a Letter of Acceptance Waiver and Consent on February 10, 2023, the Financial Industry Regulatory Authority (FINRA) has reportedly sanctioned Fortune Financial Services in connection with variable annuity recommendations. [read post]
14 Jan 2019, 10:22 am
Broker Investigation – Mark Lamendola – World Capital Brokerage According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Mark Lamendola from the securities industry. [read post]
23 Mar 2020, 6:56 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Carl Antaki (Antaki), currently associated with Network 1 Financial Securities Inc. [read post]
