Search for: "Financial Industry Regulatory Authority"
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9 Sep 2016, 6:25 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Sean McCabe (McCabe). [read post]
30 Nov 2016, 3:07 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Raymond Harrison (Harrison) currently associated with Cambridge Investment Research, Inc. [read post]
13 Sep 2016, 6:06 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Steven Shmulewitz (Shmulewitz). [read post]
5 Oct 2011, 4:11 pm
This week the Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Public Non-Traded REITs-Perform a Careful Review Before Investing to help investors understand the benefits, risks, features and fees of these investments. [read post]
7 Jan 2015, 8:00 am
The Financial Industry Regulatory Authority (FINRA) today released its 2015 Regulatory and Examination Priorities letter highlighting significant risks and issues that, if not properly addressed, could adversely affect investors and market integrity.This year's letter, focuses on key sales practice, financial and operational, and market integrity matters, and identifies challenges in five key areas that should be addressed to get ahead of… [read post]
25 Jun 2010, 9:22 am
Financial Regulatory Reform: A New Foundation, June 2009While OTC derivatives are supposed to protect businesses from risks, they became a way for companies to make enormous bets with no regulatory oversight and therefore exacerbated risks. [read post]
24 Feb 2022, 2:29 pm
Customer Complaints Allege James Dunn, Ameriprise Broker, made Unauthorized Trades According to public records from the Financial Industry Regulatory Authority (FINRA), financial advisor James William Dunn, Jr. [read post]
22 Jan 2024, 8:08 am
Securities Regulator Suspends Lucas Hales for Private Securities Transactions The Financial Industry Regulatory Authority (FINRA) has reportedly suspended broker Lucas Hales (CRD #6254897) from the securities industry for 12 months and issued a fine of $10,0000 as of on January 18, 2024. [read post]
21 Dec 2017, 6:38 am
The parties should agree that UK regulatory authorities grant equivalence and recognition under English law effective on exit day to EU27 CCP’s authorized under EMIR, EU27 trading venues authorized under the Markets in Financial Instruments Directive II (MiFID II); and EU27 trade repositories registered under EMIR;Cooperation arrangements. [read post]
14 Mar 2012, 7:08 am
A Financial Industry Regulatory Authority ("FINRA") arbitration panel issued a significant Award against Pacific West Securities ("Pacific West"), a FINRA broker-dealer that previously announced it will shut down. [read post]
3 Jan 2011, 11:24 am
Through November 2010, the number of broker/dealers registered with the Financial Industry Regulatory Authority (FINRA) was 101 below the total at the end of 2009. [read post]
27 Jan 2020, 12:37 pm
In a recent award, a Financial Industry Regulatory Authority (FINRA) arbitration panel has decided that Merrill Lynch must pay a former professional baseball player and his wife $1.7 million in compensatory damages, plus $88,758 in costs, for losses they sustained from investing in Puerto Rico bonds and closed-end bond funds. [read post]
11 Oct 2017, 10:29 am
The Financial Industry Regulatory Authority (FINRA) has filed two recent enforcement actions that may signal a crackdown on variable annuity (VA) misconduct this year, continuing a 2016 trend of high fines related to VA sales in 2016. [read post]
8 Jul 2016, 10:16 am
We are pleased to announce that after a six-day long arbitration, our client was awarded his full net out-of-pocket damages of $142,168.00 by a Financial Industry Regulatory Authority (FINRA) Arbitration Panel. [read post]
30 Jan 2018, 12:17 pm
Regulator Tackles Elder Fraud Issue According to the Financial Industry Regulatory Authority (FINRA), a new regulation will take effect on Feb. 5, 2018. [read post]
13 Dec 2009, 7:22 am
According to the latest figures from the Financial Industry Regulatory Authority (FINRA), through October 2008, investment arbitration claims are up 49% from 2007. [read post]
17 Dec 2020, 12:19 pm
FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 15, The Financial Industry Regulatory Authority (FINRA) has sanctioned 3 Cetera Firms over alleged deficiencies in supervising dually-registered representatives (DRRs). [read post]
24 Apr 2012, 9:39 am
The Financial Industry Regulatory Authority, Department of Enforcement ("FINRA") has filed a Complaint against Clyde Thornburg ("Thornburg"), a broker employed by NEXT Financial Group, Inc. in Sarasota, Florida. [read post]
23 May 2019, 12:28 pm
In addition, FINRA provides surveillance and other regulatory services for equities and options markets, as well as trade reporting and other industry utilities. [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roumayeh was employed by his prior employer Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) prior to being investigated concerning his activities. [read post]
