Search for: "Financial Industry Regulatory Authority"
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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]
1 Jul 2019, 7:02 am
Bourgeois, formerly registered with Commonwealth Financial Network (Commonwealth Financial) out of Metairie, Louisiana has been barred by The Financial Industry Regulatory Authority (FINRA) for failing to answer questions concerning his conduct. [read post]
30 Jun 2019, 8:39 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
29 Jun 2019, 1:13 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded 23 investors $3M in their claim against Spire Securities, its CEO David Lloyd Blisk, and CCO Suzanne Marie McKeown. [read post]
27 Jun 2019, 1:35 pm
In this blog post, we’ll look into the legal issues associated with financial inheritances from clients by financial advisers, potential solutions to the problem, and how a group of bipartisan lawmakers are taking action and calling to the Financial Industry Regulatory Authority (FINRA) for reform. [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]
26 Jun 2019, 7:52 am
The Monetary Authority of Singapore is considering granting banking licenses to fintechs that provide digital payments and other financial services, greatly increasing the number of banking companies. [read post]
26 Jun 2019, 7:08 am
Former Merrill Lynch Broker Fred Brown Reportedly Fined & Suspended According to the Financial Industry Regulatory Authority (FINRA) on July 25, the regulator has reportedly fined former Merrill Lynch broker, Fred Ronald Brown $12,500 and suspended him for eight months. [read post]
25 Jun 2019, 9:05 pm
The Financial Conduct Authority (the U.K. counterpart to the U.S. [read post]
25 Jun 2019, 2:12 pm
Just last month, our broker fraud lawyers filed a Financial Industry Regulatory Authority (FINRA) claim against Arkadios Capital and one of its brokers on behalf of a client who lost hundreds of thousands of dollars in retirement funds after the broker recommended that she invest in GPB Capital Holdings. [read post]
25 Jun 2019, 12:44 pm
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
25 Jun 2019, 7:23 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Debra Bourne (Bourne) has been subject to at least five customer complaints during her career. [read post]
24 Jun 2019, 8:24 pm
That requires a careful balancing between the necessarily of every living political culture to absorb as well as project its own self-reflexive principles and by successfully operating within them prove their legitimacy and authority, against the danger of intellectual colonialism and the loss of autonomy.Indeed, the balancing between absorption and autonomy and the utility of the mass line have been playing out in China's construction of its own trading system and in its… [read post]
24 Jun 2019, 12:49 pm
After failing to cooperate in a probe into allegations of securities violations, George Merhoff, a former ex-Cetera Financial Group adviser, has been barred by the Financial Industry Regulatory Authority (FINRA). [read post]
23 Jun 2019, 9:05 pm
A new report prepared by the STB’s Rate Review Task Force recognizes the dramatic improvement in the financial health of the railroad industry and the growing market power the railroads have over their customers. [read post]
21 Jun 2019, 12:53 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Steven Woods (Woods) has been subject to at least two customer complaints during his career. [read post]
21 Jun 2019, 12:21 pm
Former Cetera Broker Allegedly Engaged in Outside Business Activities The Financial Industry Regulatory Authority (FINRA) announced that it is barring Nina Jessee, a former Cetera Advisors broker. [read post]
21 Jun 2019, 7:40 am
“I once again would like to thank Commissioner Peirce for her excellent leadership on our efforts to stand up the Dodd-Frank Title VII regulatory regime. [read post]
20 Jun 2019, 12:36 pm
Court of Appeals for the District of Columbia Circuit found the SEC’s Financial Industry Regulatory Authority (FINRA) Rule 2030 constitutional. [read post]
20 Jun 2019, 11:47 am
FINRA Sanctions Ross Sinclaire & Associates for Alleged Violations According to the Financial Industry Regulatory Authority (FINRA) on June 10, the regulator has censured and fined Ross Sinclaire & Associates, a regional broker-dealer that reportedly operates in the mid-west. [read post]
