Search for: "Financial Industry Regulatory Authority"
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30 Jan 2023, 7:13 am
., Waco, Texas, Barred from Securities Industry According to a Letter of Acceptance Waiver and Consent on January 27, 2023, the Financial Industry Regulatory Authority (FINRA) has reportedly barred former UBS Financial advisor Robert Earl Turner, Jr after allegations that he participated in private securities transactions without permission from his member firm. [read post]
14 Dec 2016, 7:00 am
Bush, leaving the agency in 2008, and is currently the CEO of a financial and regulatory consulting firm that he founded. [read post]
27 Apr 2022, 6:23 am
The firm terminated him on 06/15/2021 and has no other employment in the industry. [read post]
26 May 2015, 9:59 am
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Matthew Davis (Davis) concerning allegations of misconduct in several customer accounts. [read post]
16 Jun 2021, 1:17 pm
FINRA Alleges Marc Reda Excessively Traded 19 Customer Accounts in Unsuitable Strategy According to public documents posted on June 15, the Financial Industry Regulatory Authority (FINRA) is investigating financial advisor Marc A. [read post]
4 May 2022, 8:47 am
FINRA Reportedly Suspends and Fines Broker Christopher Passero of Money Concepts Capital The Financial Industry Regulatory Authority (FINRA) has reportedly suspended Christopher Passero (CRD # 25176810) from the securities industry for three months and fined him $10,000, according to a Letter of Acceptance Waiver and Consent on April 11, 2022. [read post]
8 Aug 2024, 5:11 am
The unfolding legal and regulatory challenges facing both Elon Musk and OpenAI reflect the high stakes and contentious environment within the AI industry. [read post]
4 Oct 2018, 5:20 pm
The rise of financial technology (fintech) is rapidly changing the financial services industry, in the U.S., in the U.K. and elsewhere. [read post]
14 Mar 2019, 3:51 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, and the State of Massachusetts are investigating GPB Capital Holdings LLC (“GPB”) With all the recent news regarding GPB, one investigative authority has fallen under the radar – The New York City Business Integrity Commission. [read post]
7 Dec 2011, 8:25 am
The case is being filed with the Financial Industry Regulatory Authority ("FINRA") today for alleged improper supervision and selling away, relating to an alleged Ponzi scheme that devastated a Bronx community. [read post]
19 Feb 2021, 4:58 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded $19 million to a 94-year-old investor based on findings of abuse of fiduciary duty, fraudulent misrepresentations, and elder financial fraud. [read post]
23 Feb 2012, 2:13 pm
The suspension followed the board’s investigation of a regulatory action by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jan 2022, 10:50 pm
The Financial Industry Regulatory Authority (FINRA) recently took regulatory action against brokerage firm Triad Advisors LLC in connection with sales of the LJM Preservation & Growth Fund. [read post]
3 Nov 2017, 2:40 pm
If you have invested in HMS Income Fund (“HMS”) upon the recommendation of your financial advisor, you may be able to recover your losses through arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
21 Aug 2020, 4:00 am
David Francis Dalton of Chestnut Hill, Massachusetts submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly exercising discretion and causing his firm to create and maintain inaccurate books and records in violation of NASD Rules 2510(b) and 3110 and FINRA Rules 4511 and 2010. [read post]
6 Dec 2018, 11:55 am
The Financial Industry Regulatory Authority (FINRA) has barred yet another ex-broker for selling promissory notes that have since been linked to the $1.2B Woodbridge Ponzi scam. [read post]
25 Mar 2011, 9:06 am
In the joint letter, the Financial Services Roundtable and the American Bankers Association said that the costs to the banking and financial services industry of preventing and detecting data breaches, and notifying customers when their information is at risk of misuse, is already huge. [read post]
23 Dec 2013, 11:01 am
Maurice Joseph Chelliah (Chelliah) was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that Chelliah converted $90,000 from two World Group Securities, Inc. [read post]
7 Jun 2018, 5:32 am
Each 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]
4 Jun 2012, 12:19 pm
Rick Ketchum, the head of the Financial Industry Regulatory Authority, the self-policing body for the securities industry, said Tuesday that the question is "a matter of regulatory concern" for his organization and the Securities and Exchange Commission. [read post]
