Search for: "Financial Industry Regulatory Authority"
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15 Feb 2012, 9:33 am
An elderly couple has been awarded $1.4 million by an arbitration panel of the Financial Industry Regulatory Authority (FINRA) in a claim involving sales of two tenant-in-common exchanges (TICs). [read post]
11 Mar 2022, 12:37 pm
The Financial Industry Regulatory Authority (FINRA) is planning to implement its new Rule 4111 with June 1, 2022 as the first evaluation date. [read post]
30 Aug 2013, 8:32 am
The Financial Industry Regulatory Authority (FINRA) recently entered a default decision against George Alexander Kardaras (Kardaras) and Brian Matt Borakowski (Borakowski) after having alleged that the two brokers perpetrated a Ponzi scheme. [read post]
12 Jun 2014, 5:38 am
The Financial Industry Regulatory Authority (FINRA) recently fined brokerage firm Investors Capital Corp. [read post]
14 Jan 2016, 1:23 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
20 May 2019, 7:55 am
The White Law Group announced the filing of a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim this week against World Equity Group Inc. [read post]
21 Jan 2022, 11:43 am
According to the Financial Industry Regulatory Authority (FINRA) on January 20, the regulator has sanctioned Credit Suisse Securities, for a number of violations of the customer protection rule over the last 10 years. [read post]
23 Jul 2014, 12:40 pm
This article was originally posted on Stock Market Loss Brokers and agents who sell variable insurance products are supposed to comply both with state securities or insurance regulations and with regulations issued by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
9 Feb 2016, 9:08 am
The securities lawyers of Gana LLP are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Gopi Krishna Vungarala (Vungarala) and his brokerage firm Purshe Kaplan Sterling Investments (Purshe Kaplan). [read post]
15 Jan 2016, 7:42 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
5 Feb 2019, 12:20 pm
Capitol Securities Management – Glen Allen, VA According to Investment News yesterday, a Financial Industry Regulatory Authority Inc. arbitration panel has awarded two retired schoolteachers a total of $2.38 million for allegations of excessive trading, unauthorized fund transfers and withdrawals, and fraud. [read post]
1 Apr 2014, 5:42 am
This post continues our investigation into the recent bar of broker William (Bill) Tatro by the Financial Industry Regulatory Authority (FINRA) and his relationship with Mary Helen Caprice Mallett (Mallett), Tatro’s wife, colleague, and business partner. [read post]
23 Feb 2024, 4:34 am
Additionally, the financial accomplishments of FTI Consulting and innovative AI integrations by DISCO and Casepoint signal robust industry growth and the increasing importance of AI technologies. [read post]
7 Apr 2015, 5:22 pm
The Financial Industry Regulatory Authority (FINRA) recently barred broker Josh Abernathy (Abernathy) due to Abernathy’s refusal to respond to requests made by the agency. [read post]
14 Dec 2018, 1:13 pm
The Financial Industry Regulatory Authority (FINRA) is ordering Merrill Lynch to pay $300K after finding that it did not properly supervise former broker Eva Weinberg, who went to prison for defrauding former NFL football player Dwight Freeney. [read post]
27 Apr 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Pasquale “Pat” Vitucci (Vitucci) has been the subject of at least 19 customer complaints over the course of his career. [read post]
16 Dec 2011, 10:02 am
Financial Industry Regulatory Authority (FINRA) proposing to amend its circuit breaker structure and thresholds, IIROC is now considering whether to continue its coordination with U.S. circuit breakers, adopt Canada-specific parameters for the triggering of circuit breakers, or adopt a hybrid approach. [read post]
29 Jul 2019, 11:24 am
According to the Financial Industry Regulatory Authority (FINRA), financial advisor Michael P. [read post]
27 Feb 2020, 3:13 pm
The Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) recently issued guidance in connection with firms’ relationships with third-party service providers. [read post]
17 Oct 2022, 1:39 pm
One-stop shops are often partnerships between lawyers and other professionals, such as accountants or financial advisers, and offer holistic, multi-professional solutions for their consumers. [read post]
