Search for: "Financial Industry Regulatory Authority"
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25 May 2021, 6:20 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Xerxes Mullan (Mullan) has been accused by The Financial Industry Regulatory Authority (FINRA) of engaging in undisclosed outside business activities (OBAs) and private securities transactions. [read post]
25 Sep 2022, 10:51 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Schmitz’s customer complaints alleges that Schmitz engaged in misconduct relating to the handling of their accounts, including lack of fiduciary responsibility. [read post]
14 May 2020, 7:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rollins has been terminated by his prior employer, Capital Investment Group, Inc. [read post]
8 Oct 2018, 10:51 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Dana Davis (Davis) has been subject to seven customer complaints and one termination for cause. [read post]
25 Sep 2022, 10:51 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Nowak’s customer complaint alleges that Nowak made misrepresentations with respect to securities transactions to customers. [read post]
10 Jun 2019, 6:57 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Peter Viglione (Viglione) has been subject to at least four customer complaints during his career. [read post]
29 Aug 2022, 6:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Gaer’s customer complaints alleges that Gaer recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts. [read post]
6 Jul 2018, 11:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Mark Solomon (Solomon), formerly associated with M Holdings Securities, Inc. [read post]
26 May 2020, 5:43 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Robert Buffington (Buffington), formerly associated with Aegis Capital Corp. [read post]
12 Oct 2019, 8:04 am
According to BrokerCheck records, Stow is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Raymond James & Associates, Inc. [read post]
20 Jul 2015, 6:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Fera Shivaee (Shivaee) has been the subject of at least two customer complaints. [read post]
17 Feb 2020, 7:30 am
According to BrokerCheck records, Burroughs is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Lincoln Investment. [read post]
18 Dec 2017, 2:07 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Ahmed Gheith (Gheith), in August 2017, was terminated by his employer Paulson Investment Company, LLC (Paulson Investment) after the firm alleged that Gheith was terminated subsequent to discovery of violations of firm supervisory procedures, failure to provide honest answers on annual questionnaires, violations of FINRA Rule 3280, and due to initiation of customer… [read post]
10 Jan 2019, 11:28 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Thomas Williams (Williams) has been subject to five customer complaints and one termination for cause during his career. [read post]
22 Jan 2016, 6:56 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Kerry Raheb (a/k/a Patrick Raheb) (Raheb). [read post]
10 Jan 2013, 5:01 am
Directors and officers can be sued, barred from the industry or even jailed for conduct that years ago would have merited little or no attention from regulatory authorities and prosecutors. [read post]
UBS Financial Services Inc. Secures Temporary Restraining Order Against Three Former Brokers in Ohio
2 Jun 2009, 5:52 am
District Court for the Southern District of Ohio entered a temporary restraining order prohibiting the three individuals from soliciting any securities investment business from UBS customers pending an arbitration hearing before the Financial Industry Regulatory Authority (“FINRA”). [read post]
4 Feb 2024, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), advisor Barbara Shaffer (Shaffer), currently employed at Cambridge Investment Research, Inc. [read post]
11 Mar 2014, 4:56 pm
The Financial Industry Regulatory Authority (FINRA) claim alleged that Glover sold failed land deals in Texas real estate to multiple clients without the approval of the brokerage firm where he worked. [read post]
12 May 2021, 12:59 pm
Advisor Candido Viyella of Miami Barred after Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA) on May 10, 2021, the regulator has barred former Morgan Stanley advisor Candido Viyella from associating with any FINRA member at any time after he failed to provide testimony in its investigation. [read post]
