Search for: "Financial Industry Regulatory Authority"
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25 Apr 2019, 10:59 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Spach’s customer complaint alleges that Spach introduced a client of his independent advisory firm to an outside investor. [read post]
24 Apr 2019, 1:03 pm
Their claims were filed in arbitration with the Financial Industry Regulatory Authority. [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]
23 Apr 2019, 2:14 pm
Recently, The Financial Industry Regulatory Authority (FINRA) brought a case against Shopoff Securities, Inc., William Shopoff, and Stephen Shopoff. [read post]
23 Apr 2019, 2:13 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Rothchild’s customer complaints allege that Rothchild made was negligent, breached his fiduciary duty, made unsuitable investments, and made misrepresentations. [read post]
23 Apr 2019, 1:56 pm
Suing GPB The Silver Law Group represents a client who invested $450,000 in GPB’s automotive fund, and has filed an arbitration claim with the Financial Industry Regulatory Authority against a broker-dealer on behalf of the client. [read post]
22 Apr 2019, 11:23 am
Should you wish to discuss (1) the requirements and/or implications of the Bureau’s rule proposal, or (2) submitting comments on the proposal to the Bureau, please contact any of the authors or any of McGuireWoods’ securities enforcement and regulatory attorneys. [read post]
22 Apr 2019, 7:20 am
The Financial Industry Regulatory (FINRA) announced that it is barring former Aegis Capital broker James Schwartz for allegedly churning four clients’ accounts. [read post]
21 Apr 2019, 10:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Bennett has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
21 Apr 2019, 7:16 am
FINRA Bars Ex-LPL Broker Who May Have Taken Loans From Clients In an unrelated case, The Financial Industry Regulatory Authority (FINRA) is barring James Bylenga, an ex-LPL broker, after he neglected to participate in the self-regulatory authority’s probe into allegations of misconduct. [read post]
19 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
19 Apr 2019, 9:49 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator is investigating Schwartz for allegedly churning and excessively trading the accounts of customers of his member firm. [read post]
18 Apr 2019, 12:48 pm
In the healthcare industry, having a buttoned-up compliance program will enable a more efficient sales process. [read post]
17 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
17 Apr 2019, 9:49 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator is investigating Schwartz for allegedly churning and excessively trading the accounts of customers of his member firm. [read post]
17 Apr 2019, 5:38 am
Also, the Financial Industry Regulatory Authority (Finra) has barred brokers such as MML Investors representative Floyd Powell and Quest Capital Strategies broker Frank Dietrich for selling millions of dollars in Woodbridge promissory notes to investors. [read post]
17 Apr 2019, 3:42 am
As recognized by new guidance from the Financial Industry Regulatory Authority (FINRA), the departure of a registered representative often prompts customer questions about the departing representative and the continued servicing of a customer’s account. [read post]
16 Apr 2019, 10:53 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Philip Sparacino (Sparacino) has been subject to at least two customer complaints, three debt liens or judgements, and one criminal matter during his career. [read post]
16 Apr 2019, 10:53 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Yousuf (Joe) Saljooki (Saljooki) has been subject to at least seven customer complaints, two regulatory actions, two employment terminations for cause, and one debt lien or judgement during his career. [read post]
16 Apr 2019, 9:44 am
The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago.The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of… [read post]
