Search for: "Financial Industry Regulatory Authority"
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10 Mar 2017, 7:28 am
These transactions took place from February 2013 to January 2015, while Schklar was associated with BB&T Securities in Richmond, VA, according to the Financial Industry Regulatory Authority Inc. [read post]
26 Jul 2012, 1:20 pm
Second, authorities must avoid circumstances where market players are subject to two, or even more, sets of daily regulatory demands.Currently, while there is a G-20 commitment to harmonized financial regulation and a role for the Financial Stability Board, noted the official, there is no global governance mechanism which ensures that governments take coordinated decisions regarding the regulation of financial markets. [read post]
3 Jul 2014, 5:31 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Moloney Securities Company, Inc. [read post]
5 Feb 2015, 5:59 am
According to The Financial Industry Regulatory Authority (FINRA) BrokerCheck system, the customer complaints primarily allege unauthorized trading, failure to execute, suitability, misrepresentation, fraud, churning, and breach of fiduciary duty. [read post]
22 Jun 2011, 11:53 am
Securities and Exchange Commission, state regulators, and the Financial Industry Regulatory Authority. [read post]
29 Apr 2015, 12:02 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Gregory Dean (Dean) has been the subject of at least 4 customer complaints over the course of his career. [read post]
2 Apr 2009, 11:52 am
http://www.aboutlawsuits.com/merrill-lynch-investor-arbitration-claim-award-3408/April 2nd, 2009 An arbitration panel through the Financial Industry Regulatory Authority (FINRA) awarded an investor $30.6 million in compensatory damages and $9.2 million in interest against Merrill Lynch as a result of the negligence of one of their subsidiary broker-dealers. [read post]
10 Nov 2017, 7:37 am
FINRA sanctions Ameritas Investment Corp. for Supervision Lapses According to reports, The Financial Industry Regulatory Authority (FINRA) has censured and fined Ameritas Investment Corp. [read post]
16 Sep 2019, 12:22 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Jack D. [read post]
14 Jan 2015, 6:40 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Derek Weaver (Weaver) alleging that Weaver failed to provide documents and information to FINRA in response to demands made to investigate the broker’s activities. [read post]
24 Sep 2017, 7:34 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Yahney has been accused by customers of unsuitable investment advice and investment strategy and appears to include options recommendations. [read post]
5 Dec 2018, 10:53 am
David Fagenson Accused by FINRA of Churning Client Accounts According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended former UBS broker, David Fagenson, for alleged excessive trading in elderly client accounts. [read post]
25 Jan 2018, 7:21 am
FINRA Awards $4 Million to Investors According to The Financial Industry Regulatory Authority yesterday, FINRA arbitrators awarded more than $4 million to a group of investors for risky, unsuitable investments reportedly recommended by their broker, Anthony Diaz. [read post]
2 Jan 2018, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), former Capitol Securities Management (Capitol Securities) employee Teryl Trenchard (Trenchard) in under investigation for fraud. [read post]
30 Nov 2018, 4:42 am
Churning Losses Recovery According to the Financial Industry Regulatory Authority Inc. [read post]
5 Aug 2015, 2:06 pm
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Robert Michael Diehl. [read post]
18 Jan 2016, 7:09 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Lance Slater (Slater). [read post]
23 Jul 2010, 9:22 am
The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust Investment Services, Inc. of Atlanta, GA (“SunTrust”), to pay $1.44 million in fines and restitution for misconduct arising out of unsuitable recommendations and churning the accounts of 17 mostly elderly customers, according to an article by J. [read post]
29 Jun 2019, 1:13 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded 23 investors $3M in their claim against Spire Securities, its CEO David Lloyd Blisk, and CCO Suzanne Marie McKeown. [read post]
2 Apr 2018, 7:14 am
The Financial Industry Regulatory Authority recently published a Regulatory Notice requesting comment regarding a proposed new rule pertaining to registered persons’ outside business activities. [read post]
