Search for: "Financial Industry Regulatory Authority"
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26 Apr 2018, 6:30 am
Publicly available records with the Financial Industry Regulatory Authority (FINRA), indicate that former Chicago-based Forest Securities broker Jeffrey Nimmow was terminated from the firm. [read post]
26 Jun 2019, 7:08 am
Former Merrill Lynch Broker Fred Brown Reportedly Fined & Suspended According to the Financial Industry Regulatory Authority (FINRA) on July 25, the regulator has reportedly fined former Merrill Lynch broker, Fred Ronald Brown $12,500 and suspended him for eight months. [read post]
28 Jan 2009, 7:56 am
The Financial Industry Regulatory Authority says that between 2007 and 2008, the number of securities arbitration claims increased by 85%. [read post]
22 Nov 2011, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) imposed a $300,000 fine against Wells Investment Securities over misleading marketing tied to Wells Timberland REIT. [read post]
6 Feb 2018, 12:38 pm
According to an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA), Berthel, Fisher & Co. allegedly violated securities laws. [read post]
20 Oct 2009, 5:43 am
Hundreds of investors have filed arbitration claims with the Financial Industry Regulatory Authority (FINRA) over charges the San Francisco brokerage made false and misleading statements about the Yield Plus Funds and the extent to which investments were made in high-risk, speculative mortgage-backed securities. [read post]
5 Aug 2015, 3:10 pm
The New York based brokerage firm, Aegis Capital Corp, agreed to pay $950,000 to settle allegations with the Financial Industry Regulatory Authority (FINRA). [read post]
26 Dec 2014, 4:21 am
This post continues our exploration of the Financial Industry Regulatory Authority’s (FINRA) acceptance, waiver, and consent action (AWC) that sanctioned brokerage firm Sammons Securities Company, LLC (Sammons) over allegations that Sammons failed to establish and maintain a system of supervision to comply with the securities laws. [read post]
11 Sep 2019, 9:54 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former Morgan Stanley broker Mike Carter from the brokerage industry for reportedly refusing to provide documents and information around his alleged theft of client funds. [read post]
30 Sep 2019, 11:03 am
Morgan Securities for Failure to Disclose Broker Misconduct According to a press announcement, on September 16, 2019, the Financial Industry Regulatory Authority (FINRA) reportedly fined J.P. [read post]
7 Oct 2013, 2:31 pm
If so, The White Law Group may be able to help you through a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker dealer that sold you the investment. [read post]
13 Jun 2012, 1:23 pm
A Financial Industry Regulatory Authority ("FINRA") hearing panel has ordered Lakeland, Florida-based Brookstone Securities, Inc. [read post]
19 Aug 2020, 4:00 am
Western International Securities in Pasadena, California submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in Multiclass Mutual Fund Abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that eligible customers who purchased mutual fund shares received the benefit of… [read post]
5 Aug 2020, 4:00 am
Mason Wayne Gann of Dallas, Texas submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for unsuitable recommendations in violation of FINRA Rule 2111 and 2010. [read post]
7 Aug 2020, 4:00 am
Park Avenue Securities in New York, New York, submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which the firm was censured for allegedly engaging in multiclass mutual fund abuse and failed to establish and maintain a supervisory system and written supervisory procedures reasonably designed to ensure that customers who purchased mutual fund shares received the benefit of applicable sales charge… [read post]
13 Sep 2019, 1:01 pm
UBS Lawsuit reportedly involves Bill Hightower According to the Financial Industry Regulatory Authority (FINRA), a FINRA panel ordered UBS Financial Services Inc. to pay $555,000 to an elderly Texas widow for investment losses in her individual retirement accounts due to allegedly unsuitable investments. [read post]
14 Sep 2016, 9:13 am
The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Ameriprise Financial Services, Inc. $850,000 for failing to detect the conversion of more than $370,000 from five customer brokerage accounts by one of its registered representatives. [read post]
22 Dec 2020, 9:26 am
Transamerica’s settlement with the Financial Industry Regulatory Authority Inc. purportedly includes a $4.4 million fine and $4.4 million in restitution to approximately 2,400 customers. [read post]
23 Jul 2019, 9:30 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Marcus Boggs from associating with any FINRA member after he reportedly failed to answer requests for information in FINRA’s investigation. [read post]
3 Jul 2019, 7:11 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former Summit Brokerage financial advisor Christopher S. [read post]
