Search for: "Financial Industry Regulatory Authority"
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7 Jan 2020, 6:59 am
According to Carver’s CRD Report, published by the Financial Industry Regulatory Authority (FINRA), Carver faces pending allegations of: Financial exploitation of the elderly Negligence Breach of fiduciary duty Unlawful conversion Breach of the Illinois Consumer Fraud Act Negligent misrepresentation Violation of FINRA Rules Violation of state and federal securities laws Carver also settled a separate customer dispute this year for $20,000 concerning… [read post]
7 Jan 2020, 6:44 am
Gary Basralian, whom the Financial Industry Regulatory Authority (FINRA) barred in 2018, is currently in prison for fraud, including bilking older women who suffered from disabilities. [read post]
6 Jan 2020, 2:12 pm
In July 2019, the Financial Industry Regulatory Authority (FINRA), suspended Linda Zara (a/k/a Linda Zaramontoya) (CRD# 2322009) of Summit Brokerage Services, Inc. in Boca Raton for “borrow[ing] $44,292 from a 94 year old member firm customer without providing prior notice to, or obtaining prior written approval from her firm. [read post]
6 Jan 2020, 6:30 am
This year, we can expect to hear more from both UK and EU authorities about the impact that Open Banking is having in the financial services sector and how this initiative could be expanded into other sectors, particularly those in the digital market. [read post]
6 Jan 2020, 6:30 am
This year, we can expect to hear more from both UK and EU authorities about the impact that Open Banking is having in the financial services sector and how this initiative could be expanded into other sectors, particularly those in the digital market. [read post]
6 Jan 2020, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Baum’s customer complaint alleges that Baum recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
6 Jan 2020, 6:02 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Philip Sparacino (Sparacino), formerly associated with First Standard Financial Company LLC (First Standard), has been subject to at least three customer complaints, one employment termination for cause, two financial disclosures, and two regulatory matters during his career. [read post]
5 Jan 2020, 2:52 pm
The liability environment for directors and officers is always in a state of change, but 2019 was a particularly eventful year in the D&O liability arena, with important consequences for the D&O insurance marketplace. [read post]
5 Jan 2020, 2:52 pm
The liability environment for directors and officers is always in a state of change, but 2019 was a particularly eventful year in the D&O liability arena, with important consequences for the D&O insurance marketplace. [read post]
3 Jan 2020, 1:46 pm
However, a formal complaint has been filed by The Financial Industry Regulatory Authority Inc. [read post]
3 Jan 2020, 9:25 am
According to the Financial Industry Regulatory Authority (FINRA) on January 2, Stephen C. [read post]
3 Jan 2020, 7:09 am
In fact, the SEC and Financial Industry Regulatory Authority (“FINRA”) are already investigating the broker-dealers who recommended GPB investments. [read post]
2 Jan 2020, 12:25 pm
According to the Financial Industry Regulatory Authority (FINRA) on May 22, 2017, Christopher A. [read post]
1 Jan 2020, 10:35 am
Health plans and their fiduciaries also may face Department of Labor and other fiduciary claims, while insurers can face licensing and other regulatory consequences. [read post]
31 Dec 2019, 8:21 am
According to the Financial Industry Regulatory Authority (FINRA) on April 18, 2018, Walter W. [read post]
31 Dec 2019, 8:13 am
Financial Reports. [read post]
30 Dec 2019, 5:47 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
30 Dec 2019, 5:47 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Keener’s customer complaint alleges that Keener recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
27 Dec 2019, 11:16 am
The issue goes beyond individual properties – it is an industry imperative. [read post]
27 Dec 2019, 11:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Lockett’s customer complaint alleges that Lockett recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
