Search for: "Financial Industry Regulatory Authority"
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6 Oct 2019, 10:19 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Dobbertin’s customer complaint alleges that Dobbertin recommended unsuitable securities recommendations among other allegations of misconduct relating to real estate and annuity securities. [read post]
29 Nov 2011, 6:00 am
(Next) submitted a Letter of Acceptance, Waiver and Consent (AWC) to settle claims by the Financial Industry Regulatory Authority (FINRA) that Next's due diligence was lacking in connection with its sale of more than $20 million of Provident Royalties, LLC private placements. [read post]
11 Jun 2018, 9:14 am
Brady – First Allied Securities – Securities Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Sean Aaron Brady of First Allied Securities in St. [read post]
9 Jul 2020, 1:15 pm
Broker Investigation: Henry Arthur Taylor III, Cetera in Springdale, AR According to The Financial Industry Regulatory Authority (FINRA), and reports, FINRA has suspended broker Henry Arthur Taylor III from association with any FINRA member for three months after he allegedly made a $30,000 private securities investment in a trucking firm without notifying Cetera and then purportedly tried to conceal it from the firm. [read post]
3 Aug 2016, 2:30 pm
., a broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Aug 2017, 6:52 am
In a recent Financial Industry Regulatory Authority ("FINRA") regulatory settlement, a stockbroker was barred from the industry as a result of allegedly failing to properly notify his employer and obtain its approval for soliciting firm customers to invest in his own company. [read post]
19 Apr 2018, 7:41 am
Another day and another idiotic Outside Business Activities Rule regulatory settlement between the Financial Industry Regulatory Authority and a registered representative. [read post]
23 Jul 2018, 6:07 am
BrokeAndBroker.com Blog publisher Bill Singer wonders if the industry self-regulatory-organization, the Financial Industry Regulatory Authority, will take any regulatory action against its large member firm. [read post]
16 Feb 2009, 8:37 am
"The securities industry's self-regulator, the Financial Industry Regulatory Authority (Finra) has made it much more difficult for securities firms to obtain summary dismissals in disputes brought by investors". [read post]
13 Sep 2011, 6:26 am
The Financial Industry Regulatory Authority is stepping up its bid for more power, telling Congress on Tuesday that it is well equipped "to serve as at least part of the solution" to overseeing the investment advisory industry. [read post]
19 Mar 2010, 1:28 am
The Financial Industry Regulatory Authority said Thursday that it had expelled Provident Asset Management from the industry as part of a broader investigation into sales by brokers of unsuitable or fraudulent investments to retail customers, Bloomberg News reported. [read post]
17 Nov 2014, 1:00 pm
The Financial Industry Regulatory Authority (FINRA), a private, self-regulatory organization for U.S. securities firms, is proposing pay-to-play rules. [read post]
10 Aug 2020, 4:49 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker James Parrelly (Parrelly), formerly associated with Investment Planners, Inc. [read post]
19 Jul 2018, 8:34 am
Bloom – Chelsea Financial Services –Royal Palm Beach, FL According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred financial advisor Charles Lewis Bloom (CRD#: 4144108) from the securities industry. [read post]
12 Jul 2019, 3:42 am
For the past decade, Arizona-based securities brokerage Scottsdale Capital Advisors has been in the cross-hairs of its regulator, the Financial Industry Regulatory Autho... [read post]
11 Mar 2011, 1:23 am
The Financial Services and Treasury Bureau of Hong Kong recently published a Consultation Paper entitled “Proposed Establishment of an Independent Insurance Authority” (Consultation Paper), with a proposal to establish a new insurance regulatory authority which is both financially and operationally independent of the Hong Kong Government, and to give the independent body more supervisory powers over the industry.Current Regulatory… [read post]
15 Mar 2011, 4:01 pm
Financial Industry Regulatory Authority (FINRA) said. [read post]
8 Sep 2022, 12:37 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Athas’s customer complaints alleges that Athas recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts. [read post]
25 Jul 2022, 12:46 pm
According to the Financial Industry Regulatory Authority (FINRA), a FINRA arbitration panel has ruled in favor of two Texas investors in a claim alleging two firms, LPL Financial and Financial Resources Group Investment Services, concealed the actions of a registered representative who engaged in unauthorized trading in clients’ accounts. [read post]
3 Sep 2021, 8:03 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Joseph Lianzo from the securities industry for eight months. [read post]
