Search for: "Financial Industry Regulatory Authority"
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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]
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]
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]
8 Jul 2014, 6:17 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned and barred broker Claus Foerster (Foerster) concerning allegations that Foerster solicited firm customers to invest in a fictitious fund “S.G. [read post]
13 Jun 2024, 10:08 am
Strengthen your financial controls and oversight. [read post]
13 Sep 2016, 12:00 am
In a recent investor alert, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors of the problems associated with non-traded Real Estate Investment Trusts (REIT’s). [read post]
8 Dec 2016, 6:53 am
Then there's that whole issue about whether "disparate treatment" is the best way to describe sexual discrimination.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2015, and as amended thereafter, former Edward Jones & Co. employee Claimant asserted in connection with the c... [read post]
4 May 2015, 4:25 am
Alas, the Devil is always in the details.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2013 and as amended thereafter, Claimants asserted causes of action against Respondent RBC Capital. [read post]
