Search for: "Financial Industry Regulatory Authority"
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17 Feb 2010, 6:19 am
The Financial Industry Regulatory Authority (FINRA) announced its first enforcement action involving the sales of reverse convertible notes (RCNs) — fining H&R Block Financial Advisors, Inc., (n/k/a Ameriprise Advisor Services, Inc.) $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers. [read post]
14 Dec 2023, 1:21 am
The Financial Industry Regulatory Authority (FINRA), the securities regulator, supervises the operations of brokerage firms, as well as enforces rules and regulations pertaining to securities trading. [read post]
21 Aug 2018, 6:49 am
The report suggests that regulators in addition to the BCFP should take steps to enhance data aggregation activities, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, Department of Labor, and state insurance regulators. [read post]
10 Jun 2018, 6:18 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Kimberly Kitts (Kitts), formerly associated with Royal Alliance Associates, Inc. [read post]
20 Oct 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Horning (Horning) has been the subject of at least 8 customer complaints. [read post]
6 Jul 2022, 9:07 am
We have also seen increased enforcement of the UK Bribery Act 2010 (UK Bribery Act) by the SFO against financial institutions, including deferred prosecution agreements and reported SFO investigations in the insurance industry. [read post]
1 Sep 2021, 1:38 pm
The filing also discloses that the SEC and Financial Industry Regulatory Authority (“FINRA”) are investigating whether any Robinhood employees traded “meme stocks,” including GameStop Corp. and AMC Entertainment Holdings, Inc., before the public announcement that Robinhood would impose trading restrictions on those securities on January 28, 2021. [read post]
25 Nov 2013, 6:19 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Wells Fargo Advisors, LLC (Wells Fargo) and imposed a $150,000 fine over allegations that the firm failed to establish, maintain and enforce a supervisory system that was reasonably designed to adequately review and monitor the transmittal of funds from the accounts of customers to third party accounts in violation of NASD Rules 3010, 3012(a)(2)(B)(i) and FINRA Rule 2010. [read post]
16 Apr 2019, 9:44 am
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of… [read post]
11 Feb 2020, 11:20 am
Financial Advisor Jeffrey Nimmow, Forest Securities in Hillside, IL The Financial Industry Regulatory Authority (FINRA) Reportedly Bars Jeffrey Nimmow for Allegations of Sales of Unregistered Woodbridge Notes. [read post]
22 Sep 2018, 10:40 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Maccoll (Maccoll), formerly associated with UBS Financial Services Inc. [read post]
12 Jan 2019, 6:05 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaint against Phillips concerns allegations of unsuitable investments in Future Income Payments, Inc. [read post]
20 May 2021, 2:12 pm
Merrill Lynch Reportedly Pauses Cold Calling in Training Program According to Advisor Hub this week, the Financial Industry Regulatory Authority is investigating possible cold calling violations at Merrill Lynch Wealth Management’s advisor training program. [read post]
5 Feb 2024, 6:10 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Wenjinn Chang (Chang), currently associated with Independent Financial Group, LLC (IFG), has been subject to at least two customer complaints during his career. [read post]
19 Mar 2015, 3:58 pm
The Financial Industry Regulatory Authority (FINRA), a private organization that regulates its member companies, had investigated and sanctioned Legent several times in the previous two years. [read post]
9 Jul 2024, 4:00 am
Federal Deposit Insurance Corporation Explore the role of the FDIC and its functions in the U.S. financial regulatory system. [read post]
29 Feb 2024, 8:54 am
Michael Brickman Barred by Securities Regulators According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred Michael Brickman (CRD#: 4042866) from associating with any FINRA member at any time. [read post]
23 May 2016, 7:27 am
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Cannon (Cannon). [read post]
21 Mar 2024, 8:17 am
Jae Hun Kim Barred after Customer Complaints According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former E1 Asset Management broker Jae Hun Kim (CRD#: 4620963) from associating with any FINRA member at any time. [read post]
21 Mar 2018, 7:53 am
FINRA Panel says UBS was liable for breach of contract and unsuitability According to the Financial Industry Regulatory Authority (FINRA), a FINRA arbitration panel has found UBS liable for breach of contract and unsuitability in a customer complaint involving Puerto Rico bonds. [read post]
