Search for: "Financial Industry Regulatory Authority"
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3 Apr 2015, 6:42 am
According to The Financial Industry Regulatory Authority (FINRA) BrokerCheck records Baccam was registered with brokerage firm Centaurus Financial, Inc. [read post]
16 May 2016, 3:30 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against former Finance 500, Inc. [read post]
3 Jul 2018, 11:41 am
According to BrokerCheck Records kept by The Financial Industry Regulatory Authority (FINRA), Brodt has been subject to four customer complaints alleging breach of fiduciary duty and unsuitable investment recommendations. [read post]
23 Jan 2015, 6:56 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Chase Casson (Casson) alleging that Casson failed to provide documents and information to FINRA in response to demands made to investigate the broker’s activities. [read post]
14 Jul 2011, 2:03 pm
Once again, breach of fiduciary duty ranks as the most frequently alleged customer claim according to our mid-year review of securities arbitration cased filed with the Financial Industry Regulatory Authority ("FINRA"). [read post]
8 May 2020, 12:02 pm
Broker Charles Dorraine (CRD# 70411) has been barred by FINRA (the Financial Industry Regulatory Authority) for refusing to give testimony about recommendations to customers about Puerto Rican bonds. [read post]
18 Aug 2014, 12:51 pm
Just this year alone, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial with nearly $3 million in penalties as a result of the company’s faulty “three-tiered supervisory system”. [read post]
23 Jul 2015, 8:43 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker Debra Lyman (Lyman) concerning allegations that between January 2013 through November 2013 Lyman engaged in unauthorized or discretionary trading in six client accounts without proper written permission. [read post]
9 Jan 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) recently suspended former Cambridge Investment Research, Inc. [read post]
14 Nov 2013, 10:02 am
Particularmente, con el propósito de entrevistar, contratar y presentar Querellas ante el Financial Industry Regulatory Authority (FINRA) y litigar en los eventuales procedimientos de arbitraje. [read post]
24 Jul 2017, 2:34 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker David Silberg (Silberg). [read post]
31 May 2010, 9:15 am
In response to recent concerns over high-risk private offerings such as Medical Capital and Provident Royalties, the Financial Industry Regulatory Authority (FINRA) has issued a Notice to Members (NTM-10-22) that reminds brokerage firms of their obligations to investigate private placements before allowing their representatives to sell those investment products. [read post]
8 Feb 2021, 1:17 am
Claimants Had Alleged Negligence, Poor Supervision, and Other Charges A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded one customer and his trust $515K in their GPB private placement fraud claim against Arete Wealth Management. [read post]
7 Feb 2018, 11:17 am
A recent customer dispute filed with the Financial Industry Regulatory Authority (“FINRA”) against Zwibel alleges damages of $2,670,750.00 for unsuitable investments, negligence, and breach of fiduciary duty. [read post]
2 Jun 2022, 6:24 am
Ex-Cetera Investment Services Broker Xinxin Lu May Have Overconcentrated Couple’s Account in Obscure, Offshore Investment Our seasoned securities lawyers have filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Cetera Investment Services on behalf of two Chinese investors. [read post]
1 Jul 2021, 3:12 pm
On July 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) and broker Christopher Orlando entered into a Letter of Acceptance, Waiver, and Consent No. 2017056432603 after FINRA alleged that from October 2015 through December 2018, Mr. [read post]
13 Dec 2021, 7:30 am
Morgan Securities Broker, Ed Turley, and Wins $4 Million FINRA Arbitration Award A Financial Industry Regulatory Authority (FINRA) arbitration panel in Houston, Texas has awarded a client of Shepherd, Smith, Edwards & Kantas (SSEK Law Firm at investorlawyers.com) $4 million in compensatory damages over losses she sustained while working with ex-J.P. [read post]
29 May 2012, 6:05 pm
(CLQ) has consented to pay the Financial Industry Regulatory Authority a $3.5M fine to settle allegations that he gave out inaccurate information about subprime residential mortgage-backed securities. [read post]
21 Dec 2007, 12:31 am
TORRANCE, CA -- 12/19/07 -- LiveOffice AdvisorMail, a leading provider of hosted messaging, archiving, security and compliance solutions in the financial services industry, today announced that its email archiving solution is already helping independent broker-dealers meet recently issued guidance from the Financial Industry Regulatory Authority (FINRA) on the proper review and supervision of electronic communications (Regulatory Notice… [read post]
13 Jun 2024, 11:21 am
FINRA Bars Rosaline Alam after Allegations of Misappropriation of Funds According to public records, the Financial Industry Regulatory Authority has barred former advisor Rosaline Alam (CRD No. 5742202) also known as Rosaline Alrachid from working in the securities industry on June 11, 2024. [read post]
