Search for: "Financial Industry Regulatory Authority"
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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]
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]
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]
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]
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]
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]
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]
9 Dec 2015, 6:22 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2011025610501) against brokerage firm Braymen, Lambert and Noel Securities, Ltd. [read post]
4 Oct 2022, 8:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Eduardo Da Cruz (Da Cruz) has at least one disclosable event. [read post]
29 Feb 2016, 6:40 am
The securities fraud lawyers of Gana LLP are investigating the employment separation filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Patrick Sands (Sands). [read post]
5 May 2015, 7:03 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Brian Decker (Decker) has been the subject of at least 10 customer complaints and 2 judgments and liens over the course of his career. [read post]
4 Jun 2024, 5:44 am
(June 2024) Rosca Scarlato is pleased to announce that the Financial Industry Regulatory Authority’s Board of Governors has appointed Hugh Berkson, Of Counsel to Rosca Scarlato, to serve a three-year term on FINRA’s National Arbitration and Mediation Committee (NAMC).The NAMC is responsible for making recommendations to FINRA regarding the recruitment, qualification, training, and evaluation of arbitrators and mediators. [read post]
4 Jun 2024, 5:44 am
(June 2024) Rosca Scarlato is pleased to announce that the Financial Industry Regulatory Authority’s Board of Governors has appointed Hugh Berkson, Of Counsel to Rosca Scarlato, to serve a three-year term on FINRA’s National Arbitration and Mediation Committee (NAMC).The NAMC is responsible for making recommendations to FINRA regarding the recruitment, qualification, training, and evaluation of arbitrators and mediators. [read post]
4 Jun 2024, 5:44 am
(June 2024) Rosca Scarlato is pleased to announce that the Financial Industry Regulatory Authority’s Board of Governors has appointed Hugh Berkson, Of Counsel to Rosca Scarlato, to serve a three-year term on FINRA’s National Arbitration and Mediation Committee (NAMC).The NAMC is responsible for making recommendations to FINRA regarding the recruitment, qualification, training, and evaluation of arbitrators and mediators. [read post]
2 Mar 2012, 9:05 am
Recently a Financial Industry Regulatory Authority (FINRA) Panel, according to the NY Times, awarded an investor $1.38 million for his losses in the Lyon Capital Management collateralized loan obligation (CLO). [read post]
