Search for: "Financial Industry Regulatory Authority"
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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]
28 May 2010, 9:20 pm
According to the Financial Industry Regulatory Authority, Citigroup Global Markets Inc. has consented to pay $1.5 million in disgorgement and fines for failing to properly supervise broker Mark Singer and his handling of trust funds belonging to two cemeteries. [read post]
21 Apr 2014, 6:41 am
On Monday, April 14, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it would lift the hold that it had put on some cases related to the collapse of Puerto Rico Bond Funds. [read post]
7 Jan 2015, 6:41 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned Newbridge Securities Corporation (Newbridge) concerning allegations that the firm violated a host of sales obligations to customers that resulted in unfair trading practices. [read post]
7 Jul 2017, 4:41 am
According to BrokerCheck records Kevin Curry (Curry) has been sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that the broker exercised discretion in a customer’s account without obtaining written authorization or written approval of the account as discretionary from his brokerage firm. [read post]
1 Mar 2011, 8:40 am
SEC-registered investment companies, ERISA plans and funds regulated under the EU UCITS Directive should not be regulated as major swap participants and major security-based swap participants under SEC and CFTC rules implementing the Dodd-Frank derivatives provisions, in the view of the Securities Industry and Financial Markets Association. [read post]
13 Apr 2020, 10:59 am
Flower, SW Financial, Melville, NY Advisor James Flower Reportedly Under Investigation for Churning Allegations According to the Financial Industry Regulatory Authority (FINRA), FINRA’s Department of Enforcement has alleged that between January 1, 2016 and July 31, 2018 Respondent James W. [read post]
20 Jan 2021, 8:56 am
The Financial Industry Regulatory Authority (FINRA) reportedly barred former advisor Michael Shillin (CRD#: 5927156, Altoona, WI) from working in the securities industry after he purportedly refused to appear for on-the-record testimony. [read post]
20 Feb 2019, 6:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Rosensweig’s customer complaints allege that Rosensweig made unsuitable recommendations in a variety of securities. [read post]
25 Aug 2011, 9:10 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;), Office of Dispute Resolution, (formerly NASD Dispute Resolution, Inc.) reports that as of 2003, of the 663,000 registered representatives in the country in 2003, only 2,751 or 0.41 % have been the subject of three or more customer initiated investment related complaints or arbitrations. [read post]
1 Jun 2021, 9:43 am
During a May 19, 2021 webcast at the Financial Industry Regulatory Authority’s (“FINRA”) annual conference, Amy Sochard, FINRA’s Vice President of Advertising Regulation, indicated that the organization will seek public feedback on gamification practices utilized by some stock trading platforms to attract investors with a view toward issuing new rules or guidance. [read post]
24 Aug 2015, 7:16 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2013036262101) broker Sylvester King Jr. [read post]
30 Jul 2015, 5:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jason Klabal (Klabal) has been the subject of at least eight customer complaints six of which have been filed since 2014. [read post]
18 Oct 2009, 7:38 pm
At the same time that the big boys are figuring how to avoid the trap and grab the cheese, the rest of the industry will become a wasteland of financial product innovation. [read post]
26 Feb 2019, 11:47 am
FINRA Broker Disciplinary Action Report: February 2019Each 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]
11 May 2016, 11:31 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has censured Stephens Inc., of Little Rock, Arkansas, and fined the firm $900,000 for allegedly inadequately supervising firm-wide internal “flash” emails sent by its research analysts to convey information about companies and industries the firm covered. [read post]
11 Oct 2016, 1:09 pm
Jay Jules Gruenebaum was investigated by the Financial Industry Regulatory Authority Inc. over two customer complaints on mishandling accounts and certain representations he made to them, as well as unauthorized payments, while registered with Stifel, Nicholaus and Company according to the AWC accepted by Finra’s department of enforcement yesterday. [read post]
21 Dec 2018, 12:58 pm
Cetera Advisor Networks According to the Financial Industry Regulatory Authority (FINRA), the regulator has fined Cetera Advisor Networks $700,000 and ordered $691,800 in customer restitution in connection with excessive trades, also known as “how” in the securities industry. [read post]
27 May 2017, 7:48 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Juan Alejos – a/k/a John Alejos (Alejos), formerly associated with brokerage firms Charles Morgan Securities, Inc. [read post]
9 Nov 2017, 2:46 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dennis McMurray (McMurray), in August 2017, was terminated by his firm, Girard Securities, Inc. [read post]
