Search for: "Financial Industry Regulatory Authority"
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29 Mar 2018, 7:00 am
The author would like to thank Joseph Palmieri, Articling Student, for his assistance in preparing this legal update. [read post]
15 Feb 2021, 7:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Wudemann’s customer complaints alleges that Wudemann recommended unsuitable investments in various investments and misrepresented investment products including mutual fund securities and structured notes among other allegations of misconduct relating to the handling of their accounts. [read post]
16 Sep 2022, 8:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reynolds’ customer complaints alleges that Reynolds recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts, including unauthorized trading. [read post]
27 Mar 2023, 11:17 am
FINRA Rule 2090, also known as the “Know Your Customer” rule, was created by the Financial Industry Regulatory Authority (FINRA). [read post]
13 Jun 2012, 12:15 pm
The Financial Industry Regulatory Authority (FINRA) views its mandate as investor protection and as such, they have given notice that a new suitability rule, Rule 2111, will go into effect on July 9, 2012. [read post]
6 Jan 2020, 6:22 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Baum’s customer complaint alleges that Baum recommended unsuitable investments among other allegations of misconduct relating to the handling of their accounts. [read post]
5 Oct 2017, 7:05 pm
The circular states that the establishment or activities of these firms should increase the range and quality of products and services for investors and benefit the Hong Kong financial services industry. [read post]
27 Feb 2012, 1:16 pm
The Financial Industry Regulatory Authority (FINRA) outlined a list of investment products that they will be watching closely in 2012 because they feel that “concerns relative to business conduct and suitability issues are heightened. [read post]
18 May 2020, 9:18 am
FINRA Broker Disciplinary Action Report: May 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
23 Jan 2023, 1:27 pm
The following summarizes key components of these regulatory actions: Reassignment of Responsibilities Under the final rule, BOEM retains the authority to identify the areas that may be leased for offshore development, to issue and administer leases and other grants, to review and approve Construction and Operations Plans and Site Assessment Plans, and to require payments and financial assurance. [read post]
7 Apr 2022, 12:30 pm
FINRA Reportedly Bars Cetera Broker Marianne Smith from the Securities Industry According to the Financial Industry Regulatory Authority (FINRA), Broker Marianne Oshee Smith (CRD#: 1587765) was reportedly barred from the securities industry after her employer, Cetera Advisors, reported Smith had been discharged in connection with its investigation of her deposit of customer checks into accounts maintained by a third party. [read post]
2 Jun 2020, 10:33 am
The Financial Industry Regulatory Authority (FINRA), the organization which regulates broker-dealers and their employees, has a series of rules requiring broker-dealers to establish and maintain a supervisory system to supervise its brokers and other employees, as well as to monitor all trading activity to ensure compliance with applicable securities laws and regulations. [read post]
3 Aug 2016, 5:25 am
Andrew Todd Yocum, formerly of Morgan Stanley, The Villages, FL and Summit Brokerage Services, Lady Lake, FL has been subject to seventeen customer complaints since May 19th, 2015, according to Broker Check by the Financial Industry Regulatory Authority (FINRA). [read post]
25 Feb 2009, 1:55 pm
A Financial Industry Regulatory Authority Panel says Credit Suisse Securities must pay STMicroelectronics $406 million. [read post]
1 Nov 2018, 7:51 am
A Financial Industry Regulatory Authority (FINRA) arbitration panel is ordering UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR) to pay investor Jose F. [read post]
6 Feb 2021, 11:00 am
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm LPL Financial, LLC (LPL) involving the firm’s financial advisor, Kevin McCallum (McCallum) and his use of discretion to invest substantial sums in Medley Capital Corporation (MCC). [read post]
14 May 2012, 11:25 am
A Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded Ashley Furniture Industries, Inc. [read post]
2 Apr 2021, 7:10 am
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Gregory Mancuso from the securities industry for providing false testimony during an on-the-record interview connected with an investigation into Mr. [read post]
4 Apr 2012, 1:27 pm
A Financial Industry Regulatory Authority ("FINRA") Hearing Panel has fined David Lerner & Associates ("DLA") $2.3 million for charging excessive markups on municipal bond and collateralized mortgage obligations ("CMOs") during the period January 2005 to January 2007. [read post]
5 Jun 2012, 6:26 am
The Financial Industry Regulatory Authority (FINRA) recently announced that a FINRA hearing panel ruled that Brookstone Securities of Lakeland, FL, and the firm’s Owner/CEO Antony Turbeville and one of the firm’s brokers, Christopher Kline, made fraudulent sales of collateralized mortgage obligations (CMOs) to unsophisticated, elderly and retired investors. [read post]
