Search for: "Financial Industry Regulatory Authority"
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5 May 2020, 12:08 pm
According to Rockwell’s CRD Report, published by the Financial Industry Regulatory Authority (FINRA), Rockwell was permanently barred from the securities industry and has been the subject of several customer disputes arising out of his misconduct over the past several years, involving allegations of fraud and misappropriation of customer’s funds. [read post]
24 May 2022, 7:45 am
FINRA Reportedly Bars Barbara Bernatzky after Customer Alleges Misappropriation According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority has barred Barbara Ann Bernatzky (also known as Barbara Bertnatzky, CRD #2535421) from the securities industry after she reportedly refused to appear for on the record testimony during a FINRA investigation. [read post]
1 Nov 2019, 7:30 am
Fortress Biotech, Securities Investigation, JMP Securities, New York, NY According to public records on October 30, the Financial Industry Regulatory Authority (FINRA) reportedly suspended and fined a JMP Securities analyst $20,000 for an alleged conflict of interest. [read post]
17 Jul 2012, 10:07 am
Former Morgan Keegan broker Alejandro Rotundo was awarded $500,000 by a Financial Industry Regulatory Authority ("FINRA") arbitration panel on his counterclaim for defamation against his former firm Morgan Keegan. [read post]
24 May 2016, 6:31 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Flower (Flower). [read post]
21 Oct 2016, 7:35 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Morgan Stanley involving broker Jamie Aguilar (Aguilar) out of the firm’s San Diego, California office. [read post]
22 Jul 2018, 1:29 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Howard Utz (Utz), formerly associated with Hazard & Siegel, Inc. [read post]
22 Jul 2018, 1:29 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Howard Utz (Utz), formerly associated with Hazard & Siegel, Inc. [read post]
18 Nov 2018, 6:22 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Floyd Powell (Powell), formerly associated with MML Investors Services, LLC (MML Investors) in Albertville, Alabama has been accused by at least four clients of selling fraudulent investments. [read post]
13 May 2021, 1:10 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Adam Belardino. [read post]
10 Nov 2014, 6:33 am
’ Transnational civil society, consumer protection and financial regulatory reform Kaoru Natsuda & John Thoburn, How much policy space still exists under the WTO? [read post]
23 Apr 2019, 2:14 pm
Recently, The Financial Industry Regulatory Authority (FINRA) brought a case against Shopoff Securities, Inc., William Shopoff, and Stephen Shopoff. [read post]
13 Apr 2010, 8:31 am
Guyette also is no longer registered with the Financial Industry Regulatory Authority (FINRA). [read post]
3 Aug 2009, 1:15 pm
The Financial Industry Regulatory Authority has permanently barred a former Stifel, Nicolaus & Co. [read post]
12 Apr 2011, 9:20 am
The Financial Industry Regulatory Authority ("FINRA") recently fined Santander Securities of Puerto Rico $2 million for deficiencies in its structured product business, including unsuitable sales of reverse convertible securities, inadequate supervision of sales of structured products, and other violations related to the offering and sale of structured products. [read post]
19 Aug 2013, 6:28 am
In the aftermath of Hurricane Sandy, the Securities and Exchange Commission joined the Commodity Futures Trading Commission and the Financial Industry Regulatory Authority in issuing a joint staff advisory on business continuity and disaster recovery planning. [read post]
29 May 2012, 4:08 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations. [read post]
5 Oct 2011, 6:34 am
High fees and a lack of liquidity are just two reasons that non-traded REITs are in the hot seat with the Financial Industry Regulatory Authority (FINRA). [read post]
20 Aug 2010, 8:36 am
FINRA (The Financial Industry Regulatory Authority) settled an enforcement action and entered into an Acceptance Waiver andamp; Consent with HSBC Securities (USA) Inc., which included a $375,000 fine, for recommending unsuitable sales of inverse floating rate Collateralized Mortgage Obligations (CMOs) to retail customers. [read post]
8 Apr 2014, 6:35 am
The Financial Industry Regulatory Authority (FINRA) fined Barclays Capital Inc. [read post]
