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1 Sep 2022, 7:30 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Richer’s customer complaints alleges that Richer recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts, including failure to supervise and unauthorized trading. [read post]
31 Aug 2022, 7:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Fahsholtz’s customer complaints alleges that Fahsholtz recommended unsuitable investments in various investments including allegations involving debt-corporate securities, unit investment trusts, and variable annuities, among other allegations of misconduct relating to the handling of their accounts. [read post]
30 Aug 2022, 10:09 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) that financial advisor Terry Morris Anderson (Anderson) was terminated by his employer and has been subject to at least six customer complaints during the course of his career. [read post]
29 Aug 2022, 11:58 am
Affinity Health Plan, Inc. [read post]
29 Aug 2022, 6:49 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
28 Aug 2022, 9:45 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Serizawa’s customer complaints allege that Serizawa engaged in excessive trading, made investments that were not in the client’s best interests, and inappropriately sold private investment funds. [read post]
28 Aug 2022, 8:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) at the time of the activity. [read post]
25 Aug 2022, 8:32 am
FINRA Censures and Fines Capital Investment Group Inc. for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on August 22, 2022, the regulator censured and fined Capital Investment Group Inc. $50,000 and ordered the firm to pay partial restitution of $64,800, plus interest. [read post]
24 Aug 2022, 9:38 am
Evan, who was reportedly fired in 2019 and barred by the Financial Industry Regulatory Authority (FINRA), allegedly aggressively sold variable annuities to his customers, while purportedly claiming not to be receiving commissions for the sale of those products, according to the regulator. [read post]
24 Aug 2022, 5:01 am
At the state level, examples of regulatory oversight of cybersecurity include the “safety and soundness examinations” conducted by New York State Department of Financial Services. [read post]
19 Aug 2022, 8:54 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
19 Aug 2022, 4:42 am
The note required any disputes to be arbitrated pursuant to the Financial Industry Regulatory Authority (hereinafter FINRA) Code of Arbitration Procedure for Industry Disputes. [read post]
17 Aug 2022, 7:03 am
FINRA sanctions Axiom for allegedly ignoring red flags with private placement offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
17 Aug 2022, 6:56 am
FINRA Sanctions Axiom for Allegedly Ignoring Red Flags with Private Placement Offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
14 Aug 2022, 12:01 pm
Embassies in Beijing and Manila; Vice President of Motorola International, Inc.; and a consultant to The Carter Center’s China Village Elections Project. [read post]
10 Aug 2022, 8:54 am
FINRA Bars Robin Taliaferro, Irvine, CA, for Failure to Provide Information in its Investigation According to public documents, on July 15, 2022 the Financial Industry Regulatory Authority (FINRA) barred financial advisor Robin Taliaferro (CRD #442144) from working in the securities industry. [read post]
4 Aug 2022, 7:00 am
Claimant files FINRA arbitration claim for up to six figures in damages A Houston, Texas investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Centaurus Financial after he sustained losses in GWG Holdings L Bonds. [read post]
25 Jul 2022, 5:01 am
Justice Department Cases Against Epsilon, Macromark, and KBM In 2020 and 2021, three data brokers—Epsilon LLC, Macromark Inc., and KBM—all faced legal punishment for supplying lists of individuals who were elderly and vulnerable to scammers. [read post]
22 Jul 2022, 8:55 am
Chopra in a July 11 blog post reiterated industry practices that his agency considers troublesome and ripe for regulatory action. [read post]
20 Jul 2022, 12:17 pm
Hiko, Nevada Financial Advisor, BL Whipple Wealth Management, LLC Three investors have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Newbridge Securities. [read post]
