Search for: "Financial Industry Regulatory Authority"
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21 Nov 2016, 11:33 am
This investor alert is provided by the Financial Industry Regulatory Authority. [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]
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]
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]
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]
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]
30 Jul 2018, 9:01 am
According to BrokerCheck Records, in January 2018, Kerby was barred from the financial industry by the Financial Industry Regulative Authority (FINRA) for withholding crucial documents from FINRA involving a prior investigation in which Kerby allegedly converted elderly customer funds. [read post]
21 Sep 2022, 6:03 am
When financial advisors fail to cooperate with a FINRA investigation, FINRA Rule 8210 provides FINRA with the authority to essentially end the advisor’s career. [read post]
9 Oct 2015, 6:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Dawn Bennett (Bennett) has been the subject of at least six customer complaints over the course of her career. [read post]
6 Feb 2021, 11:30 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 David Lerner Associates, Inc. [read post]
24 Jan 2019, 1:16 pm
The interim suspension comes after Templin, who is accused of bank fraud, refused to provide the Financial Industry Regulatory Authority (Finra) with information related to the allegations against him. [read post]
1 Mar 2020, 5:22 am
FINRA Broker Disciplinary Action Report: February 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]
4 Dec 2017, 12:23 pm
It also does not replace or otherwise affect existing mechanisms by which law enforcement engages directly with the financial industry. [read post]
29 Dec 2014, 3:22 am
Unlike the rock 'n roll icon, FINRA does mind.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, p... [read post]
