Search for: "Financial Industry Regulatory Authority"
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17 Jun 2024, 8:50 pm
Our Institutional Investment Fraud Lawyers are Representing Nonprofits, Charitable Organizations, Endowment Funds, And Institutional investors Churning, Unsuitability, and Supervisory Failures Alleged in Nonprofit’s Broker Fraud Claim A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded over $7.3 million to the Rosenau Family Research Foundation (formerly known as The Legacy of Angels Foundation) in their… [read post]
16 Sep 2022, 8:18 am
Customers Were Sold Private Equity Shares By Ex-Georgia Broker and Southport Capital Investment Adviser John Woods A Financial Industry Regulatory Authority (FINRA) arbitration panel in Atlanta has ordered Oppenheimer & Co. to pay several investors $36.7M in the wake of losses sustained in the alleged $110M Horizon Private Equity III Ponzi Scheme. [read post]
3 Aug 2011, 12:55 am
International Capital & Management Company arbitrated a dispute against Bear Stearns before the Financial Industry Regulatory Authority (“FINRA”). [read post]
13 Nov 2020, 8:21 am
Investor Contends Insigneo Securities Broker Unsuitably Handled Account A former customer of Felipe Henao Vargas, an Insigneo Securities stockbroker, is pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm for $1.3M in damages related to the iPath Series B S & P 500 Short Term Futures ETN (VXX). [read post]
2 Mar 2022, 12:35 pm
California Retiree Was Unsuitably Recommended Illiquid, Risky Investments An elderly Los Angeles investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against FSC Securities Corporation over investment losses suffered. [read post]
24 Jan 2014, 7:50 am
The Senior Supervisors Group includes senior supervisory authorities of major financial services firms in a number of countries, including, in addition to the SEC and the Fed in the U.S., the Prudential Regulation Authority in the U.K. [read post]
8 Feb 2023, 11:17 am
The SEC Approves new Designation on FINRA’s BrokerCheck of “Restricted Firm” According to reports this week, the Securities and Exchange Commission gave approval to the Financial Industry Regulatory Authority (FINRA) to flag brokerage firms for bad behavior as a “restricted firm. [read post]
5 Oct 2015, 6:54 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Donald Levin (Levin) (FINRA No. 2014040335101) alleging that between December and April 2014, Levin hosted a weekly radio show and during that show he made statements that were unbalanced, promissory, misleading and lacked reasonable basis in violation of the FINRA Rules. [read post]
23 Jul 2018, 11:42 am
Investors in unregistered Woodbridge First Position Commercial Mortgages (“FPCMs”) notes and/or units upon the recommendation of former financial advisor Jerry Davis Raines (CRD# 4578689, hereinafter “Raines”) may be able to recover losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
17 Dec 2014, 8:30 am
Regulatory Developments. [read post]
11 Feb 2024, 8:55 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Kieth Baron (Baron) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
14 Apr 2015, 11:49 am
The Financial Industry Regulatory Authority (FINRA) announced on March 26, 2015 that it fined Oppenheimer & Co., Inc. for failing to supervise Mark Hotton, a former broker who allegedly stole money from his clients accounts and excessively traded their accounts. [read post]
22 Feb 2016, 7:16 am
On February 18, 2016, Financial Industry Regulatory Authority (FINRA) announced that it had issued a targeted exam letter, or sweep, to firms seeking information about how firms establish, communicate and implement cultural values. [read post]
27 Jun 2019, 6:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Whittaker’s customer complaints allege that Whittaker recommended unsuitable securities recommendations among other allegations of misconduct in the handling of customer accounts. [read post]
30 Jul 2008, 5:53 pm
In response to growing public and political pressure, in a news release dated July 24, 2008, the Financial Industry Regulatory Authority ("FINRA") announced that it has launched a "pilot program" that scraps the "industry" arbitrator. [read post]
12 Mar 2019, 4:34 am
It is authored by Alan Chen and David Pivnick. [read post]
21 Jan 2017, 11:42 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Perry De Leeuw (De Leeuw) – a/k/a Perry De Leeun, Perry Deleeuw. [read post]
16 Oct 2021, 11:59 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Western International’s customer complaints allege that Mr. [read post]
16 Jun 2012, 9:28 pm
Broker Bruce Parish Hutson has turned in a Letter of Acceptance, Waver, and Consent to settle allegations of Financial Industry Regulatory Authority rule violations involving his alleged failure to advise Morgan Stanley Smith Barney (MS) of his arrest for retail theft at a store in Wisconsin. [read post]
20 Dec 2018, 9:21 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Buck (Buck), formerly associated with Morgan Stanley in Boston, Massachusetts has been accused by his former firm and barred by FINRA over unapproved securities. [read post]
