Search for: "Financial Industry Regulatory Authority"
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17 May 2010, 3:13 pm
The Financial Industry Regulatory Authority (FINRA) has issued a Regulatory Notice concerning structured products called Reverse Convertibles. [read post]
23 Sep 2016, 8:48 am
(IPI) has been censured and fined $170,000 by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Feb 2016, 1:46 pm
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), among other regulators, regularly engage in investigations to explore, deter and punish market conduct that violates the securities laws and industry rules. [read post]
19 Dec 2013, 5:44 am
Broker Joseph Anthony Giordano (Giordano) was recently barred from the financial industry by The Financial Industry Regulatory Authority (FINRA) over allegations that he participated in the distribution of unregistered debentures issued by Empire Corporation, a Maryland corporation (Empire Debentures) to customers of Capital Investment Group, Inc. [read post]
23 Sep 2019, 6:51 am
FINRA Broker Disciplinary Action Report: September 2019Each 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]
29 Jun 2020, 1:55 pm
FINRA Broker Disciplinary Action Report: June 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]
26 Sep 2008, 3:28 pm
"Given the turbulence affecting the financial services industry these daysâ€â [read post]
29 Sep 2019, 5:32 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Crane’s customer complaint concerns over variable annuity sales practices. [read post]
21 Apr 2022, 10:41 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
21 Nov 2016, 11:33 am
This investor alert is provided by the Financial Industry Regulatory Authority. [read post]
10 Feb 2023, 11:23 am
FINRA Rule 3210 Protects Investors from Conflicts of Interest The Financial Industry Regulatory Authority (FINRA) helps to keep investors and their investments safe by enacting rules and publishing guidance for brokerage firms and financial advisors. [read post]
15 Aug 2018, 5:56 am
National Securities Corporation is registered with the SEC and three self-regulatory organizations: Nasdaq, Cboe BZX Exchanged, Inc., and the Financial Industry Regulatory Authority (FINRA) – and it is with the latter agency that the company has come under intense scrutiny over the last couple of decades. [read post]
16 Jun 2020, 6:21 am
Last week, the Financial Industry Regulatory Authority (FINRA) issued a Letter of Acceptance Waiver and Consent (AWC) censuring Merrill Lynch and ordering $7.2 million in restitution to investor clients. [read post]
10 May 2016, 11:16 am
On May 3, 2016, the Financial Industry Regulatory Authority announced that MetLife Securities, Inc. agreed to pay $25 million to settle allegations that the company misled its customers in tens of thousands of variable annuity replacement applications. [read post]
3 Jan 2015, 7:57 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against former Source Capital Group, Inc. [read post]
25 Jul 2011, 9:15 am
In June, the Financial Industry Regulatory Authority (FINRA) filed a disciplinary action against broker/dealer David Lerner Associates in connection to the investments. [read post]
8 Nov 2023, 9:24 am
(CRD#: 8158/SEC#: 801-7571,8-497) and the Financial Industry Regulatory Authority Inc. [read post]
19 Apr 2021, 11:07 am
Paul Koch, former UBS Financial advisor, Reportedly Sued for Unsuitable Investments According to Financial Advisor IQ today, the Financial Industry Regulatory Authority is reviewing former UBS Financial advisor, Paul Koch (CRD#: 1777599) of Wayzata, MN, in connection with allegations that he recommended unsuitable outside investments to a former professional football player. [read post]
13 Sep 2010, 10:59 am
A report issued by the Accounting and Corporate Regulatory Authority (ACRA) of Singapore found that company audit committees place a very high value on the outside independent audit of the company’s financial statements. [read post]
28 Aug 2022, 8:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) at the time of the activity. [read post]
