Search for: "Financial Industry Regulatory Authority"
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12 Nov 2019, 10:35 am
According to the Financial Industry Regulatory Authority on November 11, the regulator has reportedly barred financial advisor Jun Zhou from associating with any FINRA member at any time for allegedly participating in 27 private securities transactions, with sales of $16,050,000 and selling compensation of $199,000, reportedly without providing written notice to, or receiving approval from, her Firm. [read post]
5 Dec 2017, 7:50 am
The Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC (Wells Fargo) to pay more than $3.4 million in restitution to customers for unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures concerning the sales of these products. [read post]
31 Jan 2023, 7:28 am
FINRA Reportedly Bars Caz Craffy for Failure to Provide Testimony in its Investigation According to a Letter of Acceptance Waiver and Consent on December 8, 2022, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Caz Craffy (Carz Levinski Craffey) (CRD#: 5222223) from associating with any FINRA member at any time. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
14 Jan 2014, 6:43 am
Faher (Faher) was suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Faher made unsuitable recommendations to her clients to invest in private placements. [read post]
18 May 2009, 1:01 pm
The Financial Industry Regulatory Authority (FINRA) has issued an "investor alert" warning individuals to be wary of free seminars boasting a free meal. [read post]
25 Aug 2022, 10:59 am
FINRA Censures and fines Kovack Securities in connection with Short-term Mutual Fund Trading According to a Letter of Acceptance Waiver and Consent this week, the Financial Industry Regulatory Authority (FINRA) censured and fined Kovack Securities (CRD # 44848) $210,000 for supervisory failures. [read post]
12 May 2015, 7:09 am
The Financial Industry Regulatory Authority (FINRA) sanctioned three firms, H. [read post]
10 Jul 2014, 6:38 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Douglas Cmelik(Cmelik) concerning allegations that Cmelik improperly marked order tickets for penny stock purchases as “unsolicited” when the purchases were solicited. [read post]
27 Jun 2013, 8:20 am
After two unsuccessful attempts to implement consolidated supervisory rules, the Financial Industry Regulatory Authority, Inc. [read post]
15 Feb 2022, 7:27 am
To recognise whether cooperation pursuant to the MoU is working, senior representatives from the FCA, BoE, PRA and PSR relied on feedback from industry and regulatory practitioners from each organisation. [read post]
23 Jan 2024, 5:00 am
Cryptocurrency and Blockchain Litigation and Regulatory Enforcement Gain key insight into the regulatory landscape for cryptocurrencies and ongoing development by regulatory agencies. [read post]
6 Mar 2018, 5:23 am
According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
28 Feb 2014, 4:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Center Street Securities, Inc. [read post]
18 Jun 2014, 7:47 am
The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
27 Jun 2016, 7:35 am
The Financial Industry Regulatory Authority recently announced that it has fined Oppenheimer & Co. [read post]
7 May 2010, 10:48 am
., Olympic Securities LLC, and Alpine Securities Corp. have consented to pay $385,000 to settle Financial Industry Regulatory Authority that they sold collectively over 7.5 billion in “unregistered” penny stock in Universal Express Inc. shares and made about $8.4 million as a result. [read post]
4 Sep 2019, 12:32 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Coburn from association with any FINRA member in all capacities after he reportedly failed to provide information in FINRA’s investigation; therefore, according to FINRA, he is automatically barred from association with any FINRA member in all capacities. [read post]
11 Mar 2019, 4:25 pm
Sanctioned for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned broker-dealer ProEquities Inc. for alleged mutual fund overcharges. [read post]
20 Feb 2014, 5:48 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Cambridge Investment Research, Inc. concerning allegations that from January 2009, to July 2010, Cambridge failed to ensure that the firm preserved, maintained, and reviewed the business emails of two of its registered representatives. [read post]
