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27 Oct 2015, 6:24 am
The Financial Industry Regulatory Authority (FINRA) barred broker Robert Potter (Potter) (FINRA No. 2014041579901) alleging on August 10, 2015, the agency investigated allegations that Potter commingled customer funds with his personal funds and sent Potter a letter requesting that he provide documents and information by August 17, 2015. [read post]
9 Jul 2014, 6:41 am
FINRA found that most of the investors were his brokerage firm client. [read post]
30 Aug 2018, 8:36 am
How does FINRA protect investors against Financial Advisor Misconduct? [read post]
14 Jan 2021, 8:43 am
They must ensure they are complying with FINRA rules. [read post]
9 Mar 2016, 12:01 pm
In addition, to the FINRA complaint Moore has been subject to three customer complaints. [read post]
10 Oct 2013, 7:11 am
On September 30, 2013, FINRA filed an amended complaint against John Carris Investments LLC (JCI), its founder George Carris and others. [read post]
15 Sep 2015, 6:30 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
19 Nov 2011, 5:19 pm
JPMorgan unit fined $1.7M over investment sales, Bloomberg Business Week/AP, November 15, 2011 FINRA Orders Chase to Reimburse Customers $1.9 Million for Unsuitable Sales of UITs and Floating-Rate Loan Funds, FINRA, November 15, 2011 More Blog Posts: Morgan Stanley Faces $1M FINRA Fine for Excessive Markups and Markdowns on Corporate and Municipal Bond Transactions, Institutional Investor Securities Blog, September 17, 2011 Wedbush Ordered By FINRA Panel To… [read post]
23 Nov 2011, 9:16 pm
Last month, FINRA put out an alert notifying investors about the risks of public non-traded REITs. [read post]
5 Nov 2014, 6:08 am
FINRA both enforces its own rules through regulatory actions and administers an arbitration forum for securities disputes. [read post]
6 May 2016, 7:18 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
3 Jun 2013, 6:46 am
In the wake of an SEC-FINRA Investor Alert about investments in pension streams, the Senate Labor and Pensions Committee began an inquiry focused on these investments and possible fraud. [read post]
5 Oct 2012, 11:20 am
The FINRA BrokerCheck website will also include any customer complaints filed against your broker, either in Court, or with the FINRA Office of Dispute Resolution, including its predecessors, the National Association of Security Dealers (NASD) and the New York Stock Exchange (NYSE). [read post]
16 Aug 2019, 8:00 am
See: "FINRA Announces Governor Elections and Appointment" (FINRA News Release).http://www.finra.org/newsroom/2019/finra-announces-governor-elections-and-appointments These outcomes constitute stunning rebuffs of FINRA's Nominating Committee... [read post]
25 Jul 2022, 4:10 am
GUEST BLOG: FINRA and Another Nail . . . [read post]
24 Jan 2022, 2:27 am
As such, we have an interesting juxtaposition of FINRA regulating the industry and FINRA managing its own house. [read post]
13 Jun 2017, 6:21 am
(FINRA Case #2013035313903) Ultralat Capital Markets, Inc. [read post]
16 Oct 2013, 6:17 am
FINRA concluded that that Sunset failed to establish and maintain a supervisory system, including written procedures, to reasonably supervise the sale of nontraditional ETFs to achieve compliance with applicable NASD and FINRA Rules. [read post]
4 Jan 2016, 1:58 pm
One of this year’s regulatory gift givers is a repeat holiday patron – the Financial Industry Regulatory Authority (FINRA) – that preliminarily proposed an initial suite of pay-to-play provisions in late 2014. [read post]
15 Jun 2018, 10:51 am
Instead, as alleged in the FINRA pleading, Hector May had wires sent and checks written directly to Executive Compensation Planners; created fictitious statements; and pocketed client funds. [read post]
