Search for: "Financial Industry Regulatory Authority"
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17 Oct 2023, 12:39 pm
FINRA Bars James Pelletiere after Allegations of Misconduct According to public records, the Financial Industry Regulatory Authority (FINRA) has barred James Pelletiere (CRD#: 2628708) from associating with any FINRA member at any time as of October 4, 2023. [read post]
4 Aug 2014, 6:26 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Kevin Nevin (Nevin) concerning allegations that Nevin participated in 11 private securities transactions totaling $690,000 over the course of two years without first disclosing his participation his member firm. [read post]
21 May 2020, 5:53 pm
Property and Casualty Insurance Virgin Islands: On May 18, the Division of Banking, Insurance and Financial Regulation issued Bulletin 2020-11 to all licensed or authorized property and casualty commercial insurers regarding a data call to collect data related to Business Interruption Insurance and COVID-19. [read post]
22 May 2020, 5:42 pm
Property and Casualty Insurance Virgin Islands: On May 18, the Division of Banking, Insurance and Financial Regulation issued Bulletin 2020-11 to all licensed or authorized property and casualty commercial insurers regarding a data call to collect data related to Business Interruption Insurance and COVID-19. [read post]
1 Jul 2019, 7:03 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kolta’s customer complaints allege that Kolta recommended unsuitable securities recommendations in a variety of products including alternative investments, equities, and annuities among other allegations of misconduct in the handling of customer accounts. [read post]
24 May 2019, 7:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Greenfield’s customer complaints allege that Greenfield recommended unsuitable securities recommendations in a variety of products including master limited partnerships (MLPs), municipal and corporate bonds, and other securities among other allegations of misconduct in the handling of customer accounts. [read post]
31 Jan 2020, 11:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Weber’s customer complaints alleges that Weber recommended unsuitable investments in options among other allegations of misconduct relating to the handling of their accounts. [read post]
6 Mar 2021, 8:53 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Bruce Ciallella (Ciallella), currently employed by Cabot Lodge Securities LLC (Cabot Lodge) has been subject to at least seven customer complaints during the course of his career. [read post]
30 Aug 2022, 10:09 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) that financial advisor Terry Morris Anderson (Anderson) was terminated by his employer and has been subject to at least six customer complaints during the course of his career. [read post]
4 Apr 2021, 12:00 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Ryan Wroblewski (Wroblewski), currently employed by Morgan Stanley and formerly registered with Aegis Capital Corp. [read post]
25 Oct 2021, 7:21 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Saccaro’s customer complaints alleges that Mr. [read post]
6 Oct 2015, 7:08 am
The law offices of Gana LLP has filed an arbitration complaint before the Financial Industry Regulatory Authority (FINRA) alleging damages in excess of $3.7 million against Allstate Financial Services, LLC (Allstate) and the estate of Paul J. [read post]
11 Jun 2019, 9:29 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kinsman’s customer complaints allege that Kinsman recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
12 Aug 2013, 1:58 pm
’s oversight authority for accounting and auditing issued updated guidance for the outside financial audits of entities of all sizes that may be subject to the risks associated with using financial instruments. [read post]
4 Nov 2016, 1:51 pm
FINRA, or the Financial Industry Regulatory Authority, is taking steps to allow their members more maneuverability that’s meant to protect their clients in response to this problem. [read post]
29 Sep 2009, 6:25 am
Even when Treasury's authority to make investments expires, financial institutions carrying Treasury investments will have to comply with executive compensation, employment and lobbying restrictions. [read post]
10 Sep 2019, 1:56 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Arteca concern misrepresentation in the purchase of alternative investments and direct participation products (DPPs) such as non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and equipment leasing programs. [read post]
7 May 2024, 5:49 am
Some experts argue that the FTC has overstepped its regulatory authority and that such sweeping changes to employment contract norms should be legislated by Congress rather than imposed through regulatory action. [read post]
27 Mar 2015, 10:16 am
On March 25, 2015, the SEC unanimously approved a plan requiring that rapid-fire trading firms register with the Financial Industry Regulatory Authority (“FINRA”). [read post]
7 Jul 2021, 12:13 pm
Relatedly, on July 2, 2021, FINRA suspended former Sanctuary Securities, Inc. financial advisor Stuart Pearl from the securities industry for three months. [read post]
