Search for: "Financial Industry Regulatory Authority"
Results 3861 - 3880
of 11,228
Sorted by Relevance
|
Sort by Date
22 Feb 2018, 2:06 pm
., may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their AFIN position was recommended by an investment advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or financial advisor. [read post]
31 Mar 2010, 11:43 am
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in March 2010: Gary Thomas Armitage of Healdsburg, California, formerly with EPlanning Securities was barred from association with any FINRA member in any capacity for engaging and participating in private securities transactions without notifying his employing firm. [read post]
24 Apr 2018, 12:06 pm
FINRA Sanctions GWN Securities for Sales Fee Overcharges According to the Financial Industry Regulatory Authority (FINRA) on February 20th, 2018, the regulator sanctioned GWN Securities, Inc., a brokerage firm based in Palm Beach Gardens, Florida. [read post]
23 Jul 2021, 8:12 am
Hill Securities According to the Financial Industry Regulatory Authority (FINRA) on July 22, the regulator has censured and fined D. [read post]
31 Mar 2010, 12:43 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in March 2010: Gary Thomas Armitage of Healdsburg, California, formerly with EPlanning Securities was barred from association with any FINRA member in any capacity for engaging and participating in private securities transactions without notifying his employing firm. [read post]
9 Feb 2018, 8:28 am
In November, the Financial Industry Regulatory Authority (“FINRA”) ordered Stephen Todd Walker (“Walker”), a former Morgan Stanley (“MSSB”) Advisor, to pay approximately $2 million to cover remaining promissory note balances and arbitration costs (the “Award”). [read post]
30 Oct 2015, 2:04 pm
The Financial Industry Regulatory Authority found that the firms failed to waive mutual fund sales charges for eligible charitable organizations and retirement accounts. [read post]
6 Jan 2016, 12:59 pm
According to FA-Mag.com, The Financial Industry Regulatory Authority (FINRA) has charged Caldwell International Corp with churning customer accounts to generate $1 million in excess commissions. [read post]
25 Mar 2014, 7:22 am
According to Investment News, the Financial Industry Regulatory Authority (FINRA) is investigating the $3.5 billion of general obligation bonds that Puerto Rico sold on March 11, 2014. [read post]
8 Aug 2014, 3:08 pm
The Financial Industry Regulatory Authority (FINRA) has suspended Florida broker Kevin Anthony Tuttle for two years and fined him $50,000. [read post]
8 Feb 2024, 1:02 pm
The Financial Industry Regulatory Authority (FINRA) recently issued a disciplinary order against Christopher Booth Kennedy, a former registered representative with Western International Securities, for a series of egregious violations. [read post]
5 Jun 2020, 4:11 pm
On June 4, 2020, the Financial Industry Regulatory Authority (“FINRA”) announced that it ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay its customers more than $7.2 million in restitution and interest resulting from unnecessary sales charges and excess fees incurred by more than 13,000 Merrill Lynch accounts in connection with mutual fund transactions from 2011 to 2017. [read post]
12 May 2011, 9:14 am
An arbitration panel of the Financial Industry Regulatory Authority (FINRA) recently awarded $2.5 million in compensatory damages to an investor for his claim against Merrill Lynch. [read post]
26 Apr 2012, 8:21 am
A Newark, New Jersey Financial Industry Regulatory Authority ("FINRA") Panel has awarded the Graham Jones Family Trust and the Graham Jones Charitable Remainder Trust a total of $4.1 million for losses sustained by the two trusts in bonds consisting largely of collateralized mortgage obligations ("CMOs") and collateralized debt obligations ("CDOs"). [read post]
3 May 2012, 5:33 am
Several of the nation’s leading banks – including Citigroup, Morgan Stanley, UBS and Wells Fargo – were recently sanctioned by the Financial Industry Regulatory Authority (FINRA) for more than $9.1 million over their failure to supervise retail sales of leveraged and inverse exchange-traded funds (ETFs). [read post]
20 Jul 2016, 10:18 am
The Financial Industry Regulatory Authority (FINRA) announced on July 19, 2016 in a News Release that it had fined Prudential Annuities Distributors, Inc. $950,000 for “failing to detect and prevent a scheme that resulted in the theft of approximately $1.3 million from an 89-year-old customer’s variable annuity account. [read post]
10 Feb 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
23 Feb 2010, 3:00 pm
On February 16, 2010, Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Financial) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of a unique and relatively new investment called reverse convertible notes to retail customers. [read post]
23 Feb 2010, 3:00 pm
On February 16, 2010, Financial Industry Regulatory Authority (FINRA) fined H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Financial) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of a unique and relatively new investment called reverse convertible notes to retail customers. [read post]
3 Jun 2024, 10:00 pm
Financial Regulatory Structure following the Dodd-Frank Act Explore this practice note to gain a comprehensive understanding of the Dodd-Frank Act and key changes that this Act made to the structure of the U.S. financial regulatory framework. [read post]
