Search for: "Finra"
Results 3881 - 3900
of 18,147
Sort by Relevance
|
Sort by Date
12 Jan 2021, 10:57 am
They must ensure they are complying with FINRA rules. [read post]
12 Jan 2021, 10:49 am
Between January 2017 and March 2019, Bardeche recommended 112 short-term ‘switches’ of Class A mutual funds in 32 customer accounts, Finra said. [read post]
12 Jan 2021, 10:11 am
Customer Filed FINRA Arbitration Complaint About Non-Traded Real Estate Investment Trusts (REITs) and Non-Traded Business Development Companies (BDCs) appeared first on Securities Arbitration Lawyer Blog. [read post]
12 Jan 2021, 8:09 am
Continue Reading › The post LPL Financial Fined $6.5M by FINRA Over Inadequate Supervision appeared first on Investor Lawyers Blog. [read post]
12 Jan 2021, 7:18 am
During this time, FINRA said that the firm also failed to supervise the review of transactions where a registered representative recommended that a customer invest additional funds into an existing VA, in violation of FINRA Rules. [read post]
12 Jan 2021, 7:03 am
Laverty violated four FINRA Rules. [read post]
12 Jan 2021, 7:03 am
Laverty violated four FINRA Rules. [read post]
11 Jan 2021, 12:33 pm
Popular Securities broker Jose Ramon Martinez has six pending customer complaints on his CRD, including a customer complaint filed in late October 2020 claiming $500,000 in losses. [read post]
11 Jan 2021, 11:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John Frederick Griner from the securities industry for 15-business days and fined him $15,000. [read post]
11 Jan 2021, 11:19 am
They must ensure they are complying with FINRA rules. [read post]
11 Jan 2021, 10:28 am
Matthew Clason was sanctioned by FINRA on September 15, 2020 for violating FINRA Rules according to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), under review by attorney Alan Rosca. [read post]
11 Jan 2021, 10:28 am
Matthew Clason was sanctioned by FINRA on September 15, 2020 for violating FINRA Rules according to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), under review by attorney Alan Rosca. [read post]
11 Jan 2021, 9:17 am
Triad Advisors and its Ex-Florida-Based Broker Placed Claimants Funds In Too Risky GPB Capital & REIT Investments Two Utah retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Triad Advisors, Inc. over losses they suffered from investing in GPB private placements and privately traded real estate investment trusts (REITs), including American Realty Capital Trust. [read post]
11 Jan 2021, 8:52 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
8 Jan 2021, 3:54 pm
(“BRWM”) customers after the firm was ordered to pay restitution of more than $250,000 by FINRA over supervisory failures related to its 529 plan share-class recommendations. [read post]
8 Jan 2021, 12:30 pm
., or mishandled your account, you may have a claim to recover your losses through securities or FINRA arbitration. [read post]
8 Jan 2021, 8:47 am
Shafer refused to appear for on-the-record testimony with FINRA in connection with FINRA’s investigation into whether Mr. [read post]
8 Jan 2021, 7:34 am
FINRA staff requested that Shafer appear for on-the-record testimony and he apparently refused the request in violation of FINRA rules. [read post]
8 Jan 2021, 7:30 am
Holwerda, Respondent (FINRA AWC)FINRA Bars Rep for Unauthorized Trading, and for Churning and Excessively Trading AccountsFINRA Department of Enforcement, Complainant, vs Steven Robert Luftschein,... [read post]
8 Jan 2021, 7:30 am
Voya Racial Discrimination Case Sheds Harsh Light On Wall Street Mandatory Arbitration (BrokeAndBroker.com Blog)Deutsche Bank Agrees to Pay Over $130 Million to Resolve Foreign Corrupt Practices Act and Fraud Case (DOJ Release)SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries (SEC Release)SEC charges Utah Company, its Principals, and Two Recidivists with Securities Fraud (SEC Release)FINRA Fines and Suspends Rep for Creating Backdated OBA Documents... [read post]
