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17 Dec 2020, 11:55 am
For Finra’s full findings see FINRA Case #2017053314902 According to his FINRA BrokerCheck report, Fernan was reportedly registered with Salomon Whitney Financial in Melville, NY from 2015 until 2017. [read post]
17 Dec 2020, 8:03 am
The firm reportedly did not provide adequate guidance to representatives regarding the importance of considering share-class differences when recommending 529 plans, according to FINRA. [read post]
17 Dec 2020, 7:53 am
FINRA Reportedly Investigates Former D. [read post]
17 Dec 2020, 6:00 am
FINRA proposed the rule amendments to address investor protection concerns of misconduct by associated persons. [read post]
17 Dec 2020, 5:06 am
FINRA Cracks down on Excessive Trading in 2021 According to Christopher Kelly, FINRA’s deputy head of enforcement, there will be more cases through 2021 brought by FINRA for excessive trading, and also against firms for failing to supervise., at a Practising Law Institute conference on broker-dealer regulation. [read post]
16 Dec 2020, 1:00 pm
Financial Advisor Frederick Levine (CRD#: 1765119) FINRA has suspended financial advisor Frederick Levine from the securities industry for the 3-month period ending on December 20, 2020. [read post]
16 Dec 2020, 12:39 pm
Stifel and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on May 27, 2020, over allegations that between January 2012 and December 2016, Stifel violated FINRA rules. [read post]
16 Dec 2020, 12:30 pm
SagePoint and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on June 10, 2020, over allegations that between January 2013 and December 2017, SagePoint violated FINRA rules. [read post]
16 Dec 2020, 7:08 am
Ex-LPL Broker Marketed Non-Traded Investments To Mississippi Retiree A retired investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial and its former broker, Tamber King Proctor, seeking up to $100K in damages. [read post]
15 Dec 2020, 2:23 pm
Lafferty have been sanctioned by FINRA. [read post]
15 Dec 2020, 12:21 pm
FINRA has suspended financial advisor Drew R. [read post]
15 Dec 2020, 10:51 am
FINRA’s ongoing campaign to rein in alleged sales abuses involving short-term trading of unit investment trusts in customer accounts has led a 23-year veteran advisor to accept a $10,000 fine and three-month suspension. [read post]
15 Dec 2020, 10:01 am
FINRA fined a small independent broker-dealer in California $35,000 for failing to adequately conduct background investigations on registered reps and for failing to obtain regulatory pre-approval for a seven-month growth spurt, according to Advisor Hub. [read post]
15 Dec 2020, 8:09 am
The post FINRA Cracks Down on Excessive Trading appeared first on The White Law Group. [read post]
15 Dec 2020, 7:20 am
Former broker Ray Gallette was registered with FINRA for 21 years and switched employers 11 times as reported on this FINRA Brokercheck page: Coastal Equities located in El Dorado Springs, Missouri January 4, 2013 – January 29, 2020 Sterling Enterprises Group located in St. [read post]
15 Dec 2020, 7:20 am
Former broker Ray Gallette was registered with FINRA for 21 years and switched employers 11 times as reported on this FINRA Brokercheck page: Coastal Equities located in El Dorado Springs, Missouri January 4, 2013 – January 29, 2020 Sterling Enterprises Group located in St. [read post]
15 Dec 2020, 6:59 am
Senior Investor Seeks up to $500K in Damages For Loss of Savings A retiree from Texas has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against brokerage firm Calton & Associates over losses he suffered in GPB Capital Holdings private placements and other non-publicly traded products. [read post]
14 Dec 2020, 11:22 am
Investors with losses in unsuitable investments may be able to recover those losses through FINRA arbitration. [read post]
14 Dec 2020, 8:44 am
They must ensure they are complying with FINRA rules. [read post]
14 Dec 2020, 8:09 am
Lincoln Investment’s supervisory failures result in imposters alleged theft of 2 customers’ funds According to a Letter of Acceptance Waiver and Consent (AWC) signed December 10, The Financial Industry Regulatory Authority (FINRA) has censured and fined Lincoln Investment after alleged supervisory failures resulted in an attempted theft of customers funds. [read post]
