Search for: "Financial Industry Regulatory Authority"
Results 4281 - 4300
of 11,228
Sorted by Relevance
|
Sort by Date
1 May 2014, 10:57 am
If so, the White Law Group may be able to help you recover your investment losses through an arbitration claim with the Financial Industry Regulatory Authority (FINRA). [read post]
4 Mar 2016, 2:57 pm
Winston Wade Turner, formerly a registered broker with MetLife and Pruco Securities, has been accused by the Financial Industry Regulatory Authority (FINRA) of deceptive sales practices involving variable annuities. [read post]
9 Jan 2018, 10:51 am
The Financial Industry Regulatory Authority (FINRA) found Barber and Madison Avenue liable for churning, unauthorized trading, unsuitable trading, breach of fiduciary duty and failure to supervise. [read post]
14 Nov 2011, 8:32 am
According to a Financial Industry Regulatory Authority (FINRA) press release, “it has fined Morgan Stanley & Co. [read post]
11 Apr 2018, 9:51 am
If you or someone you know has lost money with James O’Keefe, you may be able to recover those losses by suing his former firm, Morgan Stanley, in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
13 Jul 2018, 11:20 am
According to public records with the Financial Industry Regulatory Authority (FINRA), Global Arena Capital Corp broker Erik Pica has customer complaints against him. [read post]
2 Nov 2017, 1:59 pm
Yesterday, a Financial Industry Regulatory Authority (FINRA) arbitration panel in Boca Raton, Florida awarded Malecki Law attorneys $397,823.00 for principal investment losses against Morgan Stanley & Co., LLC. [read post]
5 Mar 2018, 1:28 pm
Financial Industry Regulatory Authority (FINRA) records indicate that Clayton, Missouri-based Arete Wealth Management broker Alvery Bartlett has been involved in pending or resolved customer disputes. [read post]
30 Nov 2023, 12:48 pm
FINANCE REGULATION The Financial Industry Regulatory Authority fined Bank of America Securities $24 million for more than 700 instances of spoofing through two former traders. [read post]
15 Sep 2017, 6:44 am
RBC charged with Negligence and Elder Abuse According to The Financial Industry Regulatory Authority, an all-public FINRA arbitration panel has awarded $212,000 to the estate of a former RBC Wealth Management client who had charged the firm with negligence and elder abuse. [read post]
27 Oct 2011, 12:51 pm
The SEC announced today that it has sanctioned FINRA (the Financial Industry Regulatory Authority) by ordering it to hire an independent consultant and to take other measures to improve its polices and procedures relating to producing documents during SEC inspections. [read post]
26 Sep 2019, 8:43 am
FINRA Sanctions Newbridge Securities, Boca Raton, FL According to a Letter of Acceptance, Waiver and Consent, on September 26, 2019, the Financial Industry Regulatory Authority (FINRA) reportedly sanctioned Newbridge Securities (CRD #104065, Boca Raton, FL) with a censure and a $225,000 fine. [read post]
22 Jun 2012, 7:48 am
The Financial Industry Regulatory Authority ("FINRA") announced that it has fined Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
5 Jul 2018, 7:03 am
According to Patino’s Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), in 2014 and 2016, Patino made material misstatements to a customer and guaranteed the customer against loss in connection with a variable annuity purchase. [read post]
1 Aug 2018, 8:28 am
Mark Kaplan – Vanderbilt Securities – Alleged Churning and Unsuitable, Excessive Trades According to the Financial Industry Regulatory Authority (FINRA) on July 26, the regulator has censured and fined Vanderbilt Securities (CRD # 5953), $100,000 for failure to supervise a registered representative. [read post]
23 Dec 2015, 9:09 am
The Financial Industry Regulatory Authority (FINRA) has fined Cantor Fitzgerald & Co. $6 million for selling billions of unregistered microcap shares. [read post]
17 Aug 2016, 2:42 pm
Bess was recently registered to sell securities with Waddell & Reed, in Edmond, Oklahoma, From April 2014 to July 2016, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Apr 2012, 6:29 am
A Financial Industry Regulatory Authority Inc. hearing panel recently ordered David Lerner to pay more than $3.7 million in fines and restitution for overcharging retail customers on sales of more than 1,500 municipal bonds and 1,700 collateralized-mortgage-obligation transactions. [read post]
29 Oct 2019, 7:22 am
The North Carolina-based broker-dealer was recently fined $60K and censured by the Financial Industry Regulatory Authority (FINRA) after allowing its ex-co founder, president, CCO and CEO Patrick Emanuel Sutherland, to continue to have access to its email, other systems, records, and books, as well as engage in activities on its behalf, even after he was found guilty of multiple felonies in 2016. [read post]
1 Dec 2016, 6:34 am
The Financial Industry Regulatory Authority said on November 30 it fined Merrill Lynch $7 million for inadequate supervision of client brokerage accounts that used leverage to buy Puerto Rican municipal bonds and other securities. [read post]
