Search for: "Financial Industry Regulatory Authority"
Results 4241 - 4260
of 11,228
Sorted by Relevance
|
Sort by Date
15 Dec 2011, 11:52 am
Today, the Financial Industry Regulatory Authority (FINRA) announced that Wells Fargo Investments, LLC was fined $2 million for making unsuitable investments in connection with the sale of reverse convertible notes and for failing to provide required sales charge discounts on Unit Investments Trust (UIT) transactions. [read post]
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]
21 Jul 2011, 7:44 am
Enforcement of a relatively new rule of the Financial Industry Regulatory Authority (FINRA) has resulted in significant fees in 2011 for small issuers with securities traded over-the-counter. [read post]
12 Jan 2012, 2:28 pm
The Financial Industry Regulatory Authority (“FINRA”) recently fined Wells Fargo & Co. $2 million recently for the actions of Alfred Chi Chen, a retail investment advisor registered with the firm. [read post]
16 Mar 2016, 2:03 pm
The Financial Industry Regulatory Authority has charged a broker with allegedly lying to clients about commissions he received for selling non-traded REITs and business development companies (BDCs). [read post]
11 Dec 2015, 2:23 pm
The Financial Industry Regulatory Authority (FINRA) has accused Comprehensive Asset Management and Servicing Inc (CAMS) of failing to meet its supervisory obligations in a numerous areas, including variable annuities. [read post]
20 Jul 2017, 7:38 am
Mcelduff’s BrokerCheck records from the Financial Industry Regulatory Authority (FINRA) shows that the most recent customer complaint against Mcelduff was filed in December 2016. [read post]
3 May 2019, 8:51 am
AXA Advisors LLC Fined for Reportedly Misrepresenting Junk Bonds According to the Financial Industry Regulatory Authority (FINRA), the broker-dealer unit of AXA Equitable Life Insurance Co. agreed to pay a $600,000 fine and repay $172,000 to 401(k) retirement plan participants for marketing some junk bond funds as investment-grade. [read post]
9 Oct 2014, 4:08 pm
According to Onwallstreet.com, the Financial Industry Regulatory Authority (FINRA) recently barred a Chicago stockbroker who allegedly misappropriated $1 million from his clients’ accounts. [read post]
18 Jul 2012, 7:43 am
A three-member Financial Industry Regulatory Authority ("FINRA") arbitration panel has issued a $1.6 million Award in favor of customer, John Sisk, against JHS Capital Advisors, Inc., Pointe Capital, Inc. and broker Enver R. [read post]
17 Jul 2009, 6:35 am
The Financial Industry Regulatory Authority ("FINRA") is requesting information from brokerage firms involved in several recent municipal bond problems, according to a July 1 article by Leslie Wayne in the New York Times. [read post]
13 Oct 2009, 4:04 pm
Many with significant losses have been advised by attorneys to seek individual recovery in Securities Arbitration through the Financial Industry Regulatory Authority (FINRA). [read post]
11 Jul 2017, 1:38 pm
Wells Fargo Clearing Services Censured & Fined According to the Financial Industry Regulatory Authority, Wells Fargo Clearing Services, LLC (CRD #19616, St. [read post]
20 Feb 2008, 10:22 pm
The Financial Industry Regulatory Authority (FINRA), the Securities and Exchange Commission (SEC), and the North American Securities Administrators Association (NASAA) have announced a new group initiative to protect senior investors from becoming the victims of investment scams. [read post]
9 Feb 2010, 2:25 pm
At a closed-door meeting scheduled for February 10, the Financial Industry Regulatory Authority board of governors will preside over a closed-door meeting to assess allegations made by Amerivet Securities Inc. that certain FINRA executives, including chief executive Mary Schapiro, received excessive pay. [read post]
29 Mar 2010, 12:34 pm
The Financial Industry Regulatory Authority (FINRA) has fined Morgan Stanley $3 million and ordered it to pay restitution of more than $4.2 million to a group of investors who were encouraged to take early retirement and begin making systematic withdrawals from their Individual Retirement Accounts by relying on Section 72(t) of the Internal Revenue Code. [read post]
24 Mar 2009, 11:22 am
They contacted an experienced securities law firm which advised them to jointly file a claim in Securities Arbitration through The Financial Industry Regulatory Authority (FINRA), formerly the National Association of Securities Dealers (NASD) The investors claimed that Jeffrey Forrest of WeathWise LLC failed to properly advise them when selling the shares of the APEC fund. [read post]
5 Jul 2022, 7:12 am
Barron's Kenneth Corbin reported Friday: A Finra [Financial Industry Regulatory Authority] arbitration panel has awarded a former partner [Daniel Michalow] with the hedge fund group D.E. [read post]
31 Mar 2021, 9:16 am
The Financial Industry Regulatory Authority (FINRA), a securities regulator, announced that it has censured and fined Cambridge Investment Research (“Cambridge”) $400,000 and Securities America $100,000 for failing to supervise their representatives’ recommendations of an alternative mutual fund that resulted in hundreds of thousands in losses for customers. [read post]
27 Jun 2013, 9:55 am
According to the Financial Industry Regulatory Authority (FINRA), StateTrust Investment Inc has been fined $1.045 million by FINRA and ordered to pay more than $353,000 in restitution to customers for charging excessive markups and markdowns in fraudulent corporate bond transactions. [read post]
