Search for: "Finra"
Results 4141 - 4160
of 18,147
Sort by Relevance
|
Sort by Date
17 Nov 2020, 10:26 am
FINRA has suspended stockbroker John A. [read post]
17 Nov 2020, 6:29 am
" NASAA observed that the proposal would exempt persons who would otherwise be required to register as broker-dealer representatives from important oversight requirements imposed by FINRA and other SROs. [read post]
17 Nov 2020, 6:21 am
If you believe your financial advisor negligently recommended that you invest in Neovasc, improperly recommended an overconcentrated position in Neovasc, or otherwise mishandled your account, you may also have a claim against your financial advisor which can be pursued through securities or FINRA arbitration. [read post]
17 Nov 2020, 6:16 am
The regulator is seeking to amend two current private placement rules, FINRA Rule 5122 and FINRA Rule 5123, requiring broker dealers to file communications in order to improve compliance and protect investors. [read post]
17 Nov 2020, 3:26 am
According to his FINRA Brokercheck report, on September 24, 2020, FINRA made a preliminary determination to recommend disciplinary action be brought against broker Ryan Tarjanyi alleging violations of FINRA Rules. [read post]
17 Nov 2020, 3:26 am
According to his FINRA Brokercheck report, on September 24, 2020, FINRA made a preliminary determination to recommend disciplinary action be brought against broker Ryan Tarjanyi alleging violations of FINRA Rules. [read post]
16 Nov 2020, 11:31 am
While 20 complaints were reportedly settled, 2 are still pending and 1 complaint from 2000 was closed/no action, according to FINRA. [read post]
13 Nov 2020, 9:30 am
Aziz was barred by FINRA from the securities industry. [read post]
13 Nov 2020, 8:21 am
Investor Contends Insigneo Securities Broker Unsuitably Handled Account A former customer of Felipe Henao Vargas, an Insigneo Securities stockbroker, is pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm for $1.3M in damages related to the iPath Series B S & P 500 Short Term Futures ETN (VXX). [read post]
13 Nov 2020, 8:14 am
Who Knows Where The Time Goes With Former JP Morgan Rep's FINRA AWC (BrokeAndBroker.com Blog)India-based VoIP provider and its director indicted for facilitating millions of scam robocalls to Americans (DOJ Release)Fraud-Prone Aid Program Sent $7 Million to Family’s Fake Farms / The SBA approved loans and grants to dozens of new agricultural businesses registered at three single-family homes in the Cleveland area. [read post]
13 Nov 2020, 8:14 am
When it comes to Wall Street regulation, however, sometimes being late isn't better, particularly if you're the Respondent in a belated FINRA action. [read post]
13 Nov 2020, 8:14 am
(RIABiz by Oisin Breen)FINRA Gives Rep the Business Over Personal Expenses (BrokeAndBroker.com Blog)Tucson Banker Sentenced to 40 Months in Prison for Defrauding 82-Year-Old Customer (DOJ Release)Shasta County and Butte County Residents Charged in $35M Ponzi Scheme (DOJ Release)FINRA Fines and... [read post]
13 Nov 2020, 8:14 am
Phillips, Respondent (FINRA AWC)FINRA Imposes Fine and Pr... [read post]
13 Nov 2020, 3:03 am
The customer requested $406,000 for the alleged damages and received a settlement of $78,350 as responded on his FINRA Brokercheck page. [read post]
13 Nov 2020, 3:03 am
The customer requested $406,000 for the alleged damages and received a settlement of $78,350 as responded on his FINRA Brokercheck page. [read post]
12 Nov 2020, 12:18 pm
FINRA Reportedly Bars Jeffrey Broten after Allegations of Unsuitable Investments & Unauthorized Trades According to the Financial Industry Regulatory Authority (FINRA) on October 14, 2020, the regulator has reportedly barred former financial advisor Jeffrey Broton from associating with any FINRA member at any time. [read post]
12 Nov 2020, 6:40 am
Citigroup Global Markets Inc. is a FINRA member headquartered in New York. [read post]
11 Nov 2020, 1:52 pm
Firms that fail to do so may be held responsible for any losses through FINRA Arbitration. [read post]
11 Nov 2020, 7:24 am
This information is publicly available on FINRA’s website and provided to you by The White Law Group. [read post]
11 Nov 2020, 7:24 am
FINRA has permanently barred financial advisor Richard Michael Wesselt from the securities industry. [read post]
