Search for: "Financial Industry Regulatory Authority"
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24 Jun 2016, 1:12 pm
As many as 44 complaints have been filed by investors against Merrill Lynch with the Financial Industry Regulatory Authority (“FINRA”). [read post]
16 Feb 2016, 11:38 am
According to reports, the Financial Industry Regulatory Authority Inc. [read post]
31 Dec 2020, 12:55 pm
Morgan Stanley’s Supervisory Failures result in almost $1.4 Million in Overcharges According to a Letter of Acceptance Waiver and Consent (AWC) signed December 30, The Financial Industry Regulatory Authority (FINRA) has sanctioned Morgan Stanley Smith Barney (CRD # 149777) for supervisory failures connected to recommendations of 529 Savings Plans. [read post]
1 Feb 2012, 2:19 pm
With his firm, David Lerner Associates, already facing a disciplinary complaint by the Financial Industry Regulatory Authority (FINRA) for misleading investors and selling shares in illiquid real estate investment trusts (REITs) to unsophisticated and elderly customers, owner David Lerner apparently continued to improperly pitch the products. [read post]
9 Jul 2020, 12:59 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator says it has settled with Morgan Stanley for $875,000 over allegedly inaccurate securities trading data. [read post]
7 Sep 2007, 4:59 am
The new Financial Industry Regulatory Authority has launched a section on its website to provide online information for retail investors. [read post]
25 Sep 2014, 1:03 pm
The report indicates that the Financial Industry Regulatory Authority (FINRA) issue a “global fine” when attempting to settle long running problems within a brokerage firm. [read post]
16 Apr 2012, 1:41 pm
The Financial Industry Regulatory Authority Inc. [read post]
30 Jul 2015, 3:01 pm
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Adrian S. [read post]
17 Dec 2020, 8:03 am
RBC Capital Markets’ Supervisory Failures result in almost $700,000 in Overcharges According to a Letter of Acceptance Waiver and Consent (AWC) signed December 15, The Financial Industry Regulatory Authority (FINRA) has sanctioned RBC Capital Markets (CRD# 31194) for supervisory failures connected to recommendations of 529 Savings Plans. [read post]
26 Jan 2008, 6:00 am
Jonathan Evans and his co-counsel, Michael Edmiston, won in back-to-back arbitration hearings before Los Angeles based Financial Industry Regulatory Authority arbitration panels. [read post]
21 Dec 2012, 10:07 am
Inc. recently suffered another significant securities arbitration loss when a Financial Industry Regulatory Authority Inc. panel issued a $1.38 million award to an investor, whose complaint stemmed from Morgan Keegan’s proprietary bond funds that blew up during the credit crisis. [read post]
12 Aug 2019, 12:29 pm
The 30 have joined together to file a claim with a Financial Industry Regulatory Authority (FINRA) arbitration panel charging that their brokers tried to line their pockets with high commissions from high-risk securities instead of following the investors’ directions to put their money in low-risk assets. [read post]
5 Apr 2009, 4:07 pm
A Financial Industry Regulatory Authority arbitration panel issued the award to Trustees of the Masonic Hall & Asylum Fund, which is an endowment for an Utica health-care facility. [read post]
6 Oct 2014, 4:02 pm
According to InvestmentNews, the former Raymond James broker that devised a scheme to swindle a 95 year-old client out of nearly $1 million has been barred by the Financial Industry Regulatory Authority. [read post]
5 Jul 2018, 7:04 am
According to his publicly available records with the Financial Industry Regulatory Authority (FINRA), Mitchell Walk has been subject to five customer complaints, two of which are currently pending. [read post]
23 Jan 2008, 7:33 am
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have each began their own investigations into the sales and marketing practices of certain collateralized mortgage obligations (CMOs), FINRA sent more than 12 broker-dealers a sweeps letter requesting more information about: the sales of principals only, interest only, and inverse floater trenches of CMOs and details about actions taking place between June 30,… [read post]
29 Oct 2020, 12:58 pm
National Securities Corporation (CRD No. 7569, Boca Raton, Florida) Censured and Fined $125,000 According to the Financial Industry Regulatory Authority (FINRA) on October 27, the regulator reportedly censured and fined broker-dealer National Securities Corporation $125,000 in connection with sales practices violations and supervisory issues. [read post]
1 Oct 2023, 8:04 am
On July 20, 2023, Robert Spencer Gerstein, based in Boca Raton, Florida, was subject to an AWC (Acceptance, Waiver, and Consent) by FINRA (Financial Industry Regulatory Authority). [read post]
17 Aug 2016, 7:15 am
According to the Financial Industry Regulatory Authority (FINRA) a unit of UBS Group AG will pay a $250,000 fine to settle charges that it allegedly failed to waive certain fees for about 2700 eligible mutual-fund customers. [read post]
