Search for: "Financial Industry Regulatory Authority"
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12 Mar 2022, 7:27 am
Recently, the Financial Industry Regulatory Authority (FINRA) announced a settled enforcement action against Alan Scot Feigenbaum (CRD #3132230, Boca Raton, Florida). [read post]
12 Jul 2022, 11:22 am
(CRD#:18456), DACULA, GAHollifield’s broker report further indicates that the Financial Industry Regulatory Authority (FINRA) barred him from the securities industry in October 2021 after his former member firm, LPL Financial discharged him. [read post]
18 Dec 2019, 1:45 pm
FINRA: SUITABILITY AND SALES PRACTICES ISSUES LINGERFinancial Industry Regulatory Authority Inc (FINRA) released its “2019 Report on Examination Findings and Observations”, in October 2019. [read post]
20 Apr 2018, 2:14 am
The Insured Retirement Institute said in a release, “We are particularly appreciative of the Commission’s commitment to collaborating with their counterparts at the DOL, FINRA (Financial Industry Regulatory Authority), and the state insurance and securities departments around the country to develop a cohesive and consistent regulatory framework. [read post]
20 Apr 2018, 2:14 am
The Insured Retirement Institute said in a release, “We are particularly appreciative of the Commission’s commitment to collaborating with their counterparts at the DOL, FINRA (Financial Industry Regulatory Authority), and the state insurance and securities departments around the country to develop a cohesive and consistent regulatory framework. [read post]
6 May 2016, 7:18 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against former Kovack Securities Inc. [read post]
31 Jan 2014, 6:35 am
(Hogue) has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) concerning allegations that Hogue participated in an outside business activity without providing written notice to Cambridge Investment Research (Cambridge) his employing brokerage firm in violation of FINRA rules. [read post]
16 Sep 2017, 8:30 am
According to BrokerCheck records, Customers have filed about seven complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Jeffrey Grayson (Grayson), a former registered representative with Wells Fargo Advisors (Wells Fargo) out of the firm’s Florham Park, New Jersey office location. [read post]
21 Jun 2010, 8:23 am
With only a few key differences to overcome, the House and Senate have hammered out several points regarding the creation of an office to monitor the insurance industry as part of the currently debated financial industry reform bill. [read post]
26 Dec 2009, 7:48 am
For this to be achieved will require close attention to board composition to ensure the right mix of both financial industry capability and critical perspective from high-level experience in other major business. [read post]
8 Mar 2018, 6:44 am
Senator Warren wants to make FINRA Accountable for Unpaid Arbitration Awards According to reports, Senator Elizabeth Warren (D – Mass.) recently introduced legislation that would require the Financial Industry Regulatory Authority (FINRA) to create a pool to cover unpaid FINRA awards using money collected from penalties FINRA collects from its member firms. [read post]
22 Mar 2021, 10:16 am
FINRA Reportedly Suspends Edmund Zack After Allegations of Excessive, Unauthorized and Unsuitable Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended former Aegis Broker, Edmund Zack (CRD#2215116) on March 19, 2021 for eight months after allegations of excessive, unauthorized and unsuitable trading. [read post]
13 Aug 2010, 10:13 am
The whistleblower may be an investor, an employee or other industry insider, or any other member of the public not employed by a law enforcement or regulatory agency. [read post]
24 Jan 2008, 8:02 am
(The text of this post summarizes the author’s analysis from an article titled Dr. [read post]
22 Sep 2019, 11:29 am
(American Portfolios) and Kestra Investment Services, LLC (Kestra Investment) out of New York, was barred from the financial industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
8 Nov 2013, 6:02 am
The Financial Industry Regulatory Authority (FINRA) Arbitration Panel has awarded damages to investors in the amount of $1.2 million in compensatory damages and cost of fees associated with the arbitration. [read post]
26 Sep 2019, 12:05 pm
Sweeney appealed the Order to the BCDC, and the CAO and ACL to SWRCB; but, the administrative orders and financial penalties were left in place. [read post]
20 Nov 2013, 8:30 am
The divisions consist of: · Corporation Finance · Trading and Markets · Investment Management · Enforcement · Risk, Strategy, and Financial Innovation Financial Industry Regulatory Authority (FINRA) The Financial Industry Regulatory Authority (FINRA) is a self-regulatory agency that acts as the securities industry watchdog. [read post]
14 Mar 2016, 3:16 pm
On March 3, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel (the “Panel”) rendered an award (the “Award”) in favor of Bruce Howard Tuchman (“Bruce Tuchman”) and Michelle H. [read post]
9 Jan 2018, 10:46 am
FINRA Sanctions Meyers Associates again for Supervisory Issues According to The Financial Industry Regulatory Authority Inc., the regulator has fined Meyers Associates $700,000 and barred its principal from serving as a principal of a firm or as a supervisor. [read post]
