Search for: "Financial Industry Regulatory Authority"
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25 Apr 2017, 11:48 am
FINRA Tightens Sanctions on Churning In April 2017, the Financial Industry Regulatory Authority announced that it had revised its sanction guidelines for violations of its rules. [read post]
10 Oct 2017, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Clark Gardner (Gardner), in May 2014, was terminated by his then employer Cetera Advisors LLC (Cetera) subsequent to the initiation of customer arbitration claim alleging unsuitable investments. [read post]
4 Oct 2017, 8:46 am
Investors in American Finance Trust and Lightstone Value Plus REIT V may have viable arbitration claims before the Financial Industry Regulatory Authority (FINRA) if a stockbroker or investment advisor made an unsuitable recommendation to the investor to purchase them, or made a misleading sales presentation in recommending them. [read post]
17 Jan 2019, 1:11 pm
A Financial Industry Regulatory Authority (FINRA) panel has found that ex-Royal Alliance Associates broker stole money from Cathy Carter, a 54-year-old widow suffering from a brain injury. [read post]
28 Mar 2022, 10:21 am
SEC Chair Gary Gensler will open the event followed by a panel discussion with Richard Best, Acting Director of the SEC’s Division of Examinations; Nancy LeaMond, Executive Vice President and Chief Advocacy and Engagement Officer at AARP; and Christine Kieffer, Senior Director of the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation. [read post]
25 Mar 2010, 2:40 am
Comment: Unification of the consumer-protection regime and regulatory apparatus is long overdue, as most of the most troubling practices have been developed by parties who have evaded provisions applicable in one financial services sub-industry by simply migrating to another such sub-industry where functionally equivalent practices are readily developed. [read post]
22 Feb 2021, 6:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Joseph Hain (Hain), currently employed by Noble Capital Markets, Inc. has been subject to at least two customer complaints during the course of his career. [read post]
27 Dec 2023, 2:02 pm
Louis Goff allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
20 Aug 2018, 1:40 pm
FINRA Broker Disciplinary Action Report August 2018Each 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]
1 Oct 2020, 7:01 am
On August 31, 2020, the Massachusetts Superior Court confirmed a Financial Industry Regulatory Authority (“FINRA”) Arbitration Award against Credit Suisse for more than $2 million owed to four former Credit Suisse advisors represented by Lax & Neville LLP, including approximately $1.6 million in unlawfully withheld deferred compensation, more than $83,000 in costs and more than $411,000 in attorneys’ fees. [read post]
11 Nov 2017, 9:04 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Frank Giacalone (Giacalone) has been subject to two customer complaints. [read post]
22 Apr 2015, 7:12 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jack McBride (McBride) has been the subject of at least 4 customer complaints over the course of his career. [read post]
7 Oct 2017, 11:32 am
According to BrokerCheck records, customers have filed about ten complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Regan Rohl (Rohl), a registered representative with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) out of the firm’s Fargo, North Dakota office location. [read post]
6 Mar 2015, 10:23 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Allen Green (Green) concerning allegations that Green violated FINRA’s suitability rule by making unsuitable recommendations to a disabled customer, and also by having no reasonable basis to recommend non-traditional exchange traded funds (Non-traditional ETFs) to his customers. [read post]
23 Sep 2018, 8:23 am
The law offices of Gana Weinstein LLP have filed complaints before The Financial Industry Regulatory Authority (FINRA) on behalf of multiple clients against brokerage firm Comprehensive Asset Management and Servicing, Inc. [read post]
20 Sep 2017, 6:26 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Magarelli has been accused by customers of unsuitable investment advice. [read post]
8 Jan 2014, 5:37 am
Broker Christopher Orlando (Orlando) was suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Orlando participated in the sale of approximately $7,000,000 in private securities transactions of promissory notes linked to Diversified Lending Group (DLG) that were not made through his member firm PlanMember Securities Corporation (PlanMember). [read post]
5 May 2014, 8:54 am
The Financial Industry Regulatory Authority (FINRA) has barred broker Mark R. [read post]
22 May 2023, 10:59 am
FINRA Sanctions American Wealth Management for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined American Wealth Management $35,000. [read post]
6 Jan 2018, 12:26 pm
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a couple against brokerage firm Comprehensive Asset Management and Servicing, Inc. [read post]
