Search for: "Financial Industry Regulatory Authority"
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14 Dec 2020, 8:09 am
Lincoln Investment’s supervisory failures result in imposters alleged theft of 2 customers’ funds According to a Letter of Acceptance Waiver and Consent (AWC) signed December 10, The Financial Industry Regulatory Authority (FINRA) has censured and fined Lincoln Investment after alleged supervisory failures resulted in an attempted theft of customers funds. [read post]
23 Feb 2012, 9:18 am
Judge Wooten's judgment confirmed an arbitration award issued by a Financial Industry Regulatory Authority ("FINRA") arbitration panel ordering Wachovia Securities ("Wachovia") to pay $1.1 million in attorneys' fees to four former Wachovia brokers under the South Carolina Frivolous Civil Proceedings Act. [read post]
4 May 2012, 6:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts’ public appearances. [read post]
20 Nov 2009, 5:44 am
., Walnut Street Securities, and Tower Square Securities - are facing a fine of $1.2 million by the Financial Industry Regulatory Authority (FINRA) for failing to properly monitor and review their brokers’ email correspondence with the public. [read post]
23 Jun 2017, 2:29 pm
The Financial Industry Regulatory Authority (“FINRA”) fined and suspended Wells Fargo broker Eli Ungar (“Ungar”) for allegedly poaching client data from his former employer the Hong Kong and Shanghai Banking Corporation (“HSBC”). [read post]
5 Apr 2012, 6:53 am
A Boca Raton, Florida Financial Industry Regulatory Authority ("FINRA") Arbitration Panel has rendered a large award in favor of two former Merrill Lynch, Pierce, Fenner & Smith ("Merrill") brokers. [read post]
24 May 2012, 8:26 am
On Monday, a Financial Industry Regulatory Authority ("FINRA") arbitrator ruled in favor of customers, Joseph Graziose and Florence Hechtel (collectively "Customers"), and ordered David Lerner Associates, Inc. [read post]
26 Jun 2012, 9:39 am
Financial Industry Regulatory Authority Inc. [read post]
5 Jan 2015, 8:34 am
Financial Industry Regulatory Authority (FINRA) recently announced that it has ordered Monex Securities Inc. to pay $1,100,000 in disgorgement of commissions, plus interest, obtained by unregistered foreign individuals who sold securities on the firm’s behalf. [read post]
30 Mar 2016, 1:52 pm
According to Investment News, the Financial Industry Regulatory Authority (FINRA) awarded three investors more than $470,000 in an arbitration award against UBS Group AG’s wealth management for over-concentration in Puerto Rico bonds. [read post]
3 Jun 2012, 9:51 pm
In May 2012, the Financial Industry Regulatory Authority ordered David Lerner Associates Inc. to pay claimants Florence Hechtel and Joseph Graziose $24,450 following the return of their Apple REIT Nine shares to the firm. [read post]
26 Jan 2012, 7:25 am
A Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded former Boston Red Sox catcher and two-time World Series winner, Doug Mirabelli and his wife, $1.2 million in their claims against Merrill Lynch, Pierce, Fenner and Smith, Inc. [read post]
21 May 2013, 11:20 am
., was fined $65,000 by the Financial Industry Regulatory Authority (FINRA) for “conducting a $5.95 million private placement for a company that was on a “restricted list” of firms that should not be dealt with. [read post]
31 Dec 2020, 12:57 pm
Riley Wealth Management for Supervisory Issues According to a Letter of Acceptance, Waiver and Consent (AWC) signed on December 30, the Financial Industry Regulatory Authority (FINRA) has sanctioned B. [read post]
6 Dec 2009, 8:39 am
Now, in one of the first cases to be heard by the Financial Industry Regulatory Authority (FINRA), an arbitration panel has awarded an investor $200,000, ruling that her UBS broker inappropriately sold her the risky investments. [read post]
15 Oct 2015, 3:26 pm
The Financial Industry Regulatory Authority (FINRA) recently settled charges against Santander Securities LLC for supervisory failures involving certain Puerto Rican bonds and closed end funds. [read post]
5 Mar 2018, 1:29 pm
If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your options of bringing a claim against the firm in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
14 Aug 2020, 10:21 am
According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has sanctioned Morgan Stanley in connection with alleged failures to supervise one of its brokers who purportedly churned client accounts. [read post]
2 Aug 2016, 11:30 am
According to the Financial Industry Regulatory Authority (FINRA) between July 1, 2009 and July 1, 2015 Securities America, an independent-broker dealer, failed to waive sales charges on mutual funds to the tune of $1.34 million. [read post]
18 Nov 2016, 9:12 am
The firm was reportedly late making 365 filings with the Financial Industry Regulatory Authority Inc. regarding disciplinary actions it took against its own brokers and arbitration and litigation settlements over an eight year period, from 2008 to 2016. [read post]
