Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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13 Apr 2017, 11:05 am
CFP Board’s Complaint alleged that Rosenberg entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority, Inc. [read post]
25 Sep 2015, 6:54 am
Records from the Financial Industry Regulatory Authority (“FINRA”) indicate that Mr. [read post]
1 Apr 2015, 6:29 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm EDI Financial, Inc. [read post]
31 Dec 2018, 7:50 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the regulatory action against Heath concern allegations of unsupervised record activity. [read post]
13 Dec 2017, 6:27 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Cotter (Cotter) has been subject to two customer complaints, two employment terminations for cause, and one regulatory action. [read post]
5 Feb 2018, 1:37 pm
The Financial Industry Regulatory Authority (“FINRA”) suspended Devlin on 11/6/2017 for a 30 day period ending 12/18/2017 after Devlin, without admitting or denying the findings, consented to FINRA’s findings that he had executed trades in 5 customer accounts without their prior authorization while at Stifel Nicolaus. [read post]
26 Jan 2009, 2:02 pm
By Dan Jamieson January 26, 2009, 3:31 PM ESTThe enforcement division of the Financial Industry Regulatory Authority Inc. is looking into how brokerage firms refer investors to money managers.OAS_RICH("Middle"); A Jan. 15 letter from the enforcement department, sent to an unknown number of firms, also asks specific questions about referrals made to Bernard L. [read post]
19 Feb 2009, 4:37 am
The Financial Industry Regulatory Authority, the agency that polices Wall Street for the Securities and Exchange Commission, plans to name Richard Ketchum, a longtime regulator, as its new chief executive. [read post]
10 Jun 2023, 1:23 pm
The Financial Industry Regulatory Authority Inc. filed the proposals with the Securities and Exchange Commission last year. [read post]
17 Jun 2023, 2:03 am
March 2, 2023 Practices: Asset Management The Financial Industry Regulatory Authority Inc. [read post]
11 Jun 2023, 5:59 am
The Financial Industry Regulatory Authority Inc. last week took aim at another group of broker-dealers — this time Advisor Group firms — that sold private placements issued by GPB Capital Holdings, which has undergone a wide-reaching makeover in the past two years. [read post]
17 Jun 2023, 12:31 am
The Financial Industry Regulatory Authority Inc. said Tuesday that it had penalized Morgan Stanley $698,000 for several years of failing to supervise brokers’ sales of high-risk securities, including a Chinese telecom stock. [read post]
10 Jun 2023, 4:05 pm
The Financial Industry Regulatory Authority Inc. launched an exam sweep in September 2021 to probe how its member firms use TikTok, Twitter, Instagram, Facebook [...] [read post]
10 Jun 2023, 3:14 pm
The Financial Industry Regulatory Authority Inc. reported $45 million in fines in 2022 compared to $103 million in 2021, Eversheds Sutherland said [...] [read post]
12 Apr 2011, 1:34 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel in Denver has ordered Citigroup Global Markets, Inc. to pay over $54 million in damages for its abusive conduct in marketing and managing various investments including municipal bond hedge funds known as MAT/ASTA. [read post]
9 Jun 2023, 7:44 am
A Georgia Superior Court judge took a serious whack at Wells Fargo Advisors, as well as the Financial Industry Regulatory Authority Inc., in a January order that dismissed an arbitration claim that Wells Fargo had won 2½ years ago involving a client who sued the firm for mismanaging his account. [read post]
8 Jun 2023, 7:31 pm
The Financial Industry Regulatory Authority Inc. has censured Morgan Stanley and fined the firm $325,000 for publishing research reports that included inaccurate historical stock ratings. [read post]
11 Jun 2023, 9:22 am
On Monday, the Financial Industry Regulatory Authority Inc. filed a proposal with the Securities and Exchange Commission to continue remote inspections through the end of 2023 or [...] [read post]
19 Jan 2024, 8:59 am
The WRF is made up of the following regulatory authorities: Through the financial contribution of the CER, BCER, AER and Saskatchewan MER, Canadians are provided with no fee access to CSA ... [read post]
25 May 2012, 7:48 am
A Financial Industry Regulatory Authority (FINRA) arbitrator ordered the firm to pay them back $24,450 for their shares of Apple REIT Nine, and to reimburse them for the $425 FINRA filing fee. [read post]
