Search for: "Financial Industry Regulatory Authority"
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6 Feb 2020, 1:08 pm
Stoltmann Law Offices has been following the Justice Department’s case against former Ameriprise Financial advisor Yilin Hsu Lee, a/k/a Li Lin Hsu, since 2016 when she was barred by the Financial Industry Regulatory Authority (FINRA). [read post]
4 Sep 2020, 6:19 am
FINRA Sanctions Wells Fargo for Failure to Supervise VA Switches According to the Financial Industry Regulatory Authority (FINRA) on September 2, 2020, Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network have agreed to pay more than $1.4 million in restitution, plus interest, to about 100 customers, as well as fines totaling $675,000, for failing to supervise recommendations that customers switch from variable annuities to other… [read post]
7 Feb 2019, 11:39 am
Ben Dembla – (Bhenoy Dembla) – Merrill Lynch – Chicago, IL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Ben Dembla (CRD#4357042) from associating with any FINRA member at any time. [read post]
16 Apr 2010, 8:10 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded damages to the Marcus family and their affiliated profit sharing and retirement plans as a result of losses sustained in so-called Lehman principal protected structured notes sold to them by UBS Financial Services, Inc. [read post]
19 Oct 2020, 12:34 pm
According to the Financial Industry Regulatory Authority (FINRA), since June 2019, Johnson has reportedly been the subject of 13 pending customer complaints for allegations of unsuitable investments. [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]
7 Aug 2023, 12:43 pm
FINRA stands for The Financial Industry Regulatory Authority, and it is a non governmental organization that regulates the securities industry in the United States. [read post]
18 Mar 2010, 4:30 pm
The RAFSA includes expansive financial industry regulatory reforms, including the “Private Fund Investment Advisers Registration Act of 2010” (the “PFIARA”). [read post]
30 Aug 2018, 9:25 am
The Financial Industry Regulatory Authority (FINRA) has barred J. [read post]
29 Jul 2018, 1:44 pm
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), Mirabella has been subject to 5 customer disputes, 2 of which are still pending. [read post]
5 Apr 2023, 12:36 pm
Dana Davis of Newbridge Allegedly made Unsuitable Recommendations According to the Financial Industry Regulatory Authority (FINRA), the self- regulator who oversees brokers and brokerage firms, has reportedly suspended Dana Davis (CRD #1707708) from the securities industry. [read post]
20 Jun 2022, 8:18 am
FINRA Censures and Fines United Planners for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on June 17, the regulator censured and fined United Planners’ Financial Services of America $40,000 and ordered the firm to pay partial restitution of $37,125, plus interest. [read post]
26 Apr 2018, 7:39 am
FINRA proposes new rule for Churning Fraud – Excessive trades The Financial Industry Regulatory Authority Inc. is proposing a new rule to catch more brokers who are churning customer accounts, according to an article in Investment News on Monday. [read post]
25 Sep 2014, 6:18 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker James Moniz (Moniz) concerning allegations that while registered with Signator Investors, Inc. [read post]
12 Sep 2024, 9:05 pm
It has commenced for the banking industry and will take effect for the insurance and superannuation industries from 15 March 2025. [read post]
14 May 2020, 7:28 am
LaBelle was sanctioned by The Financial Industry Regulatory Authority (FINRA) concerning his private securities and undisclosed outside business activity conduct. [read post]
18 Sep 2009, 7:32 am
According to information posted on the Financial Industry Regulatory Authority's Web site, McGilvrey's employment history says he worked for LPL until June of 2008 when he was "permitted to resign" for "failure to properly supervise (a) registered representative with respect to reporting of (a) direct business transaction. [read post]
10 Oct 2008, 3:31 pm
The blueprint's thrust is to consolidate regulatory authority in a unitary way in the executive branch of the federal government, under presidential control, and then delegate much of this authority to self-regulatory organizations in the various financial industries being supervised. [read post]
31 Oct 2014, 6:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Stephen Campbell (Campbell) concerning allegations that the broker engaged in churning in a client account. [read post]
2 Oct 2013, 3:45 pm
The Financial Industry Regulatory Authority (FINRA) recently announced various charges against brokerage firm John Carris Investments. [read post]
