Search for: "Financial Industry Regulatory Authority"
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8 Oct 2017, 7:03 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Adam Veron (Veron), in February 2017, was terminated by his then employer Questar Capital Corporation (Questar). [read post]
19 Dec 2018, 12:42 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Judith Bufis (Bufis), formerly associated with Kovack Securities Inc. [read post]
27 Aug 2015, 6:27 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Notman (Notman) has been the subject to an astonishing 31 customer complaints along with two firm terminations for cause. [read post]
17 Jul 2024, 6:23 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Jackson was employed by Momentum Independent Network Inc. [read post]
13 Sep 2019, 6:42 am
" That means broker-dealers generally must provide "suitable" recommendations under the Financial Industry Regulatory Authority’s Rule 2111. [read post]
27 Sep 2019, 9:05 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Sims has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
23 Jun 2020, 6:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radli has been accused by customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
10 Dec 2019, 10:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Atyeo has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
4 Jan 2018, 9:44 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Wilson has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks that likely include master limited partnerships (MLPs). [read post]
20 Sep 2021, 6:58 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Stewart’s customer complaints allege that Stewart recommended unsuitable investments in illiquid alternative investments – a high risk investment category. [read post]
17 Mar 2014, 6:06 am
All sales efforts are judged by the ethical standards of Financial Industry Regulatory Authority (FINRA) that sets industry wide investment standards. [read post]
15 Nov 2017, 6:20 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodriguez has been accused by customers of unsuitable investments among other claims. [read post]
5 Nov 2017, 7:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Smith has been accused by a customers of unsuitable investment advice concerning energy limited partnership investment among other claims. [read post]
14 Apr 2020, 6:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Roark has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including energy related investments like master limited partnerships (MLPs). [read post]
10 Oct 2018, 10:35 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Barnett has been accused by a customer of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
21 Oct 2019, 10:52 am
According public disclosures on the Financial Industry Regulatory Authority’s website on October 18, financial advisor Dennis Mehringer Jr. was reportedly barred from working in the securities industry after he allegedly failed to provide testimony in FINRA’s investigation into whether he “had engaged in unsuitable trading and other misconduct during the period from January 2017 through May 2018. [read post]
8 Nov 2017, 4:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Sinkula has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks and variable annuities among other claims. [read post]
28 Aug 2018, 6:51 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Kenahan’s customer complaints allege that Kenahan made unsuitable recommendations or engaged in excessive trading – sometimes referred to as churning. [read post]
5 Jan 2018, 12:26 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Lowther has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks that likely include master limited partnerships (MLPs). [read post]
7 Apr 2020, 6:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Rosen’s customer complaints alleges that Rosen recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts. [read post]
