Search for: "Financial Industry Regulatory Authority"
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26 Apr 2012, 7:57 am
The Financial Industry Regulatory Authority ("FINRA") has censured and fined CapWest Securities, Inc. [read post]
15 Mar 2016, 6:54 am
On February 5, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel of arbitrators (the “Panel) rendered an Award (the “Award”) against the Royal Bank of Scotland’s United States securities divisions, RBS Securities, Inc. [read post]
24 May 2012, 6:52 am
As reported May 23 by Investment News, an arbitrator of the Financial Industry Regulatory Authority (FINRA) ordered Lerner to pay the claimants – Joseph Graziose and Florence Hechtel – $24,450 after they return their shares of Apple REIT Nine to the firm. [read post]
29 Mar 2010, 1:34 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]
26 Jan 2012, 6:54 am
The Financial Industry Regulatory Authority ("FINRA") has fined Merrill Lynch, Pierce, Fenner and Smith, Inc. [read post]
23 Aug 2012, 9:50 pm
Following settlements with the Financial Industry Regulatory Authority (FINRA), stock fraud lawyers say Charles Schwab and Fidelity investors could recover losses through securities arbitration. [read post]
28 Jun 2015, 8:37 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Roderick Yzaguirre (Yzaguirre) has been the subject of at least 10 customer complaints and one firm termination. [read post]
12 May 2015, 10:02 am
On May 7, 2015, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel (the “Panel”) awarded (the “Award”) $500,000 to Respondent, John Offenburger (“Offenburger”), against the Claimants Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holdings, LLC (collectively “Morgan Stanley” and/or “Claimants”), regarding a promissory note dispute. [read post]
9 May 2024, 3:35 am
On 8 May 2024, the Financial Services Regulation Committee (FSRC) announced that it is launching an inquiry into the secondary international competitiveness and growth objective given to the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) under the Financial Services and Markets Act 2023. [read post]
11 Jun 2018, 7:54 am
If you invested in Woodbridge upon the recommendation of former financial advisor Frank Roland Dietrich (“Dietrich”), you may be able to recover your losses in arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
26 Mar 2012, 1:14 pm
The White Law Group is investigating the potential for investors who suffered losses as a result of working with Marc Duda to recover their investment losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution claims process. [read post]
7 May 2024, 3:12 pm
NCAA, 584 U.S. 453, reserved the right to delegate regulatory authority on sports betting to the states. [read post]
27 Mar 2023, 9:06 am
The Financial Industry Regulatory Authority (FINRA) is the self-regulatory organization responsible for overseeing and regulating the securities industry in the United States. [read post]
7 Dec 2009, 10:54 am
A Columbia, South Carolina-based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages to a South Carolina resident as a result of losses sustained in Lehman Brothers Holdings Inc. principal-protected notes sold to her by UBS. [read post]
26 Jun 2023, 10:30 pm
Blockchain for Financial Services Lawyers Explore this practice note to gain an overview of blockchain technology in the United States and regulatory responses to the technology. [read post]
30 Sep 2015, 12:06 pm
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Leonard Goldberg (Goldberg) (FINRA No. 2011026098504) alleging during the seven year period from August 2007 through August 2014, while he was registered with FINRA through J.P. [read post]
20 Dec 2021, 12:45 pm
They have been a FINRA (Financial Industry Regulatory Authority) member since 1984 and operate 23 branch offices with more than 350 registered representatives. [read post]
11 Mar 2024, 7:14 am
Jay Pocius Allegedly Misappropriated Client Funds According to a letter of acceptance, the Financial Industry Regulatory Authority (FINRA) has barred former Wells Fargo broker Jay Pocius (Jayson Robert Pocius) (CRD#: 6018543) from associating with any FINRA member at any time. [read post]
8 Nov 2018, 7:31 am
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Fernandez has been subject to 19 customer disputes, 10 of which are still pending. [read post]
6 Jun 2017, 2:40 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Thomas Sullivan (Sullivan). [read post]
