Search for: "Financial Industry Regulatory Authority"
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10 Jun 2019, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Hawkins’ customer complaints allege that Hawkins made unsuitable recommendations in certain structured products. [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]
8 Jun 2019, 7:05 pm
(Pix © Larry Catá Backer 2019)This post is the third of a series of three posts in which the CPE WGE examine the question of paths to empire performed through the choices being made by the U.S. and Chinese leadership cores [领导核心] within the theater of the U.S. [read post]
7 Jun 2019, 7:30 am
Should you wish to discuss requirements and/or implications of Reg BI, Form CRS Relationship Summary or newly issued statutory interpretations, please contact any of the authors or any of McGuireWoods’ securities enforcement and regulatory attorneys. [read post]
7 Jun 2019, 7:30 am
Should you wish to discuss requirements and/or implications of Reg BI, Form CRS Relationship Summary or newly issued statutory interpretations, please contact any of the authors or any of McGuireWoods’ securities enforcement and regulatory attorneys. [read post]
7 Jun 2019, 6:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), McClure’s customer complaints allege that McClure breached his fiduciary duty among other allegations. [read post]
7 Jun 2019, 6:35 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Argyros’ customer complaints allege that Argyros recommended unsuitable securities recommendations in a variety of products including unsuitable equities and warrants among other allegations of misconduct in the handling of customer accounts. [read post]
7 Jun 2019, 3:00 am
This year was the second in a row the industry’s trade group, the Community Financial Services Association of America, held its convention at the Doral. [read post]
6 Jun 2019, 12:44 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former LPL Financial advisor Philip Nalesnik after allegedly failing to disclose outside business activities to his former firm and refusing to participate in an investigation into his conduct. [read post]
6 Jun 2019, 12:18 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), the majority of customer complaints against Black concerns allegations over variable annuity sales practices. [read post]
6 Jun 2019, 11:18 am
James Anderson, an ex-Ameritas Investment Corp. adviser, is now barred by the Financial Industry Regulatory Authority (FINRA) after he failed to participate in a probe into allegations that he had taken part in selling away. [read post]
5 Jun 2019, 1:43 pm
According to the Financial Industry Regulatory Authority (FINRA), Tudor is reportedly barred from association with any FINRA member in all capacities. [read post]
5 Jun 2019, 9:19 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Sanchez from associating with any FINRA member at any time. [read post]
5 Jun 2019, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Smith’s customer complaints allege that Smith recommended unsuitable securities recommendations in equity securities among other allegations of misconduct in the handling of customer accounts. [read post]
5 Jun 2019, 6:32 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Goffin’s customer complaints allege that Goffin recommended unsuitable securities recommendations in a variety of products including alternative investments among other allegations of misconduct in the handling of customer accounts. [read post]
4 Jun 2019, 12:53 pm
And second, it is meant to put pressure (financial and military) on Venezuela by attempting the weakening or destabilization of the Cuba-Venezuela axis. [read post]
4 Jun 2019, 11:22 am
According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has reportedly barred Anderson from the securities industry. [read post]
4 Jun 2019, 11:14 am
David Strnad, a longtime broker, has been suspended by the Financial Industry Regulatory Authority (FINRA) for 18 months. [read post]
4 Jun 2019, 10:56 am
These regulatory changes were announced on April 17, 2019 and include restrictions on non-family travel to Cuba. [read post]
4 Jun 2019, 10:56 am
These regulatory changes were announced on April 17, 2019 and include restrictions on non-family travel to Cuba. [read post]
