Search for: "Financial Industry Regulatory Authority"
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2 May 2012, 6:14 am
The Financial Industry Regulatory Authority ("FINRA") has fined Citigroup Global Markets, Inc. [read post]
4 Jun 2019, 8:23 am
According to an award posted on the Financial Industry Regulatory Authority’s website this week, an all-public panel has reportedly found former financial advisor William Gennity liable for $2.4 million plus attorney’s fees for allegations of unsuitability, unauthorized trading, failure to supervise, and breach of fiduciary duty. [read post]
7 Feb 2014, 6:42 am
Financial Advisor Michael DeRosa (DeRosa) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he refused to provide testimony to the regulator concerning his involvement in Success Trade Securities, Inc. [read post]
20 Feb 2019, 12:27 pm
Bertsch Barred According to the Financial Industry Regulatory Authority (FINRA) on Friday, the regulator has barred Kirk J. [read post]
14 Aug 2018, 1:32 pm
FINRA Bars Buck Over Unauthorized Trading In July 2015, the Financial Industry Regulatory Authority barred Buck from associating with any firm that was a member of FINRA because the self-regulatory firm believed that he had engaged in unauthorized trading and had improperly charged clients. [read post]
26 Jul 2019, 1:24 pm
The Financial Industry Regulatory Authority (FINRA) announced that because of its mutual fund waiver initiative, it has arrived at a settlement with 56 broker-dealers that will provide almost 110,000 retirement and charitable accounts with $89M in restitution. [read post]
2 Aug 2017, 6:45 am
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
3 Nov 2022, 11:41 am
FINRA hits Western International Securities with $400,000 Fine plus Restitution for Supervisory Failures regarding Non-traded REITs According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority sanctioned Western International Securities for alleged supervisory failures regarding non-traded REITs. [read post]
2 Aug 2017, 3:15 pm
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
15 Oct 2014, 6:34 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Thomas Sharp (Sharp) concerning allegations that Sharp violated NASD Rule 2210(d) by sending emails to potential investors in a non-exchange traded real estate investment trusts (Non-Traded REITs) that were not fair and balanced and failed to provide a sound basis for evaluating the facts. [read post]
31 Jul 2018, 2:20 pm
In addition, Murillo has been sanctioned by the Financial Industry Regulatory Authority (FINRA) for being in violation of various securities laws. [read post]
8 Sep 2008, 5:08 pm
I often represent individual brokers and firms that are involved in an investigation by FINRA, the Financial Industry Regulatory Authority. [read post]
21 Aug 2020, 12:16 pm
Cindy Foster has served as the Ombudsman for the Financial Industry Regulatory Authority since 2009. [read post]
6 Jan 2014, 7:42 am
Broker James Arnold Busch (“Busch”) was barred from the broker industry by The Financial Industry Regulatory Authority (FINRA) over allegations that Busch engaged in securities fraud by misappropriating customer funds from approximately 8 different clients’ bank accounts. [read post]
19 Jan 2021, 8:06 am
Former Merrill Lynch Advisor Ryan Raskin Reportedly Barred from Securities Industry According to the Financial Industry Regulatory Authority ( FINRA) on January 13, 2020, the regulator has reportedly barred former Merrill Lynch advisor Ryan Raskin, after allegations of unsuitable investments. [read post]
6 Mar 2020, 5:12 am
However, the firm has come under scrutiny, with a hefty fine by the Financial Industry Regulatory Authority (FINRA) in December 2019 for certain violations, as well as a number of technical glitches that have affected investors. [read post]
14 Jun 2017, 12:43 pm
The Financial Industry Regulatory has barred Lawrence M. [read post]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
1 Jun 2022, 1:32 pm
Morgan Stanley, Ex-FA Ordered to Pay $330K Over Elder Abuse Allegations According to a FINRA Award posted this week, a Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley and former financial advisor, Francisco Valenzuela, to pay $330,000 over allegations of elder abuse and other violations. [read post]
