Search for: "Financial Industry Regulatory Authority"
Results 4161 - 4180
of 11,228
Sorted by Relevance
|
Sort by Date
16 Sep 2009, 11:18 am
As referenced earlier today the NASAA is pushing hard to regain its power and authority over the financial industry, and isn't being shy about it. [read post]
7 Jan 2019, 8:10 am
FINRA Broker Disciplinary Action Report December 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
27 Aug 2020, 7:23 am
FINRA Broker Disciplinary Action Report: August 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
24 Apr 2019, 11:04 am
FINRA Broker Disciplinary Action Report: April 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
27 Apr 2020, 9:11 am
FINRA Broker Disciplinary Action Report: April 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
18 Jun 2019, 4:36 am
FINRA Broker Disciplinary Action Report: June 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
2 Dec 2019, 3:21 pm
FINRA Broker Disciplinary Action Report: November 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
23 Jan 2017, 1:47 pm
Financial Industry Regulatory Authority (FINRA) provides you with information from the CRD. [read post]
3 Feb 2020, 6:53 am
According to BrokerCheck records, Eaton was formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Commonwealth Financial Network (CommonWealth Financial). [read post]
24 Oct 2020, 5:00 am
Alexander Jon James of Royal Palm Beach, Florida submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly participating in outside business activities and unauthorized transactions in violation of NASD Rule 3040 and FINRA Rules 3270 and 2010. [read post]
24 Oct 2020, 6:00 am
Mack Leon Miller of Brooklyn, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly making unsuitable recommendations and participating in excessive trading in a customer’s account in violation of FINRA Rules 2111 and 2010. [read post]
14 Aug 2020, 4:00 am
Ross, Sinclaire & Associated in Cincinnati, Ohio submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which they were censured and fined $200,000 for allegedly failing to disclose information in violation of FINRA Rule 2010 by acting in contravention of Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
23 Oct 2020, 11:05 am
Alan Harold New of Fort Wayne, Indiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly failing to provide documents to FINRA in violation of FINRA Rules 8210 and 2010. [read post]
24 Oct 2020, 5:00 am
Kwasi Mensah Aggor of Coventry, Rhode Island submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for failing to appear for on-the-record and provide testimony in violation of FINRA Rules 8210 and 2010. [read post]
24 Aug 2020, 4:00 am
Jeffrey Scott Nimmow of Merrimac, Wisconsin submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly engaging in unapproved private transactions and for not possessing the proper registration in violation of NASD Rule 1031 and FINRA Rules 3280 and 2010. [read post]
25 May 2017, 5:04 am
At the same time The Financial Industry Regulatory Authority’s (FINRA) opened its own investigation into Eng concerning Axiom’s disclosures for Eng’s termination. [read post]
15 Nov 2015, 9:30 pm
Vasisht also noted more recent changes in the financial markets, such as the growth of the asset management industry, the increased risks concentrated in central clearing counterparties, and the emergence of high frequency trading in increasingly fragmented and opaque financial markets. [read post]
25 Feb 2020, 7:38 am
Now, First Allied Securities is a respondent in this Financial Industry Regulatory Authority (FINRA) arbitration case, which was brought by a customer. [read post]
5 Jan 2010, 12:11 pm
An Atlanta-based Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered SunTrust Robinson Humphrey, Inc. [read post]
30 Mar 2017, 4:55 pm
The Financial Industry Regulatory Authority published the decision on Monday. [read post]
