Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
Results 421 - 440
of 3,177
Sorted by Relevance
|
Sort by Date
17 Sep 2013, 10:08 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 21, 2010 and as amended thereafter, Claimants alleged breach of fiduciary duty, negligence, negligent supervision, fraud by omission, misrepresentation and breach of contract in connection with their efforts to recover damages attendant to securities investments including two promissory notes used to finance real estate developments known as Moorings at… [read post]
29 Jul 2018, 1:46 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James Knee (Knee), formerly associated with Voya Financial Advisors, Inc. [read post]
30 Oct 2009, 8:29 am
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in October 2009: Kevin Michael Browne formerly of Regal Securities, Inc. in Dillon, California, was suspended from association with any FINRA member in any capacity for one year for allegedly defrauding investors in connection with the sale of Collateralized Mortgage… [read post]
26 Feb 2019, 6:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Lamendola concern allegations over variable annuity sales practices. [read post]
24 Jun 2015, 2:40 pm
On June 22, 2015, the Financial Industry Regulatory Authority, Inc. [read post]
3 Aug 2009, 1:15 pm
The Financial Industry Regulatory Authority has permanently barred a former Stifel, Nicolaus & Co. [read post]
1 Nov 2017, 7:34 pm
In June 2017, the Financial Industry Regulatory Authority (FINRA) announced that Coastal Equities Inc. of Wilmington, Delaware, submitted an acceptance, waiver and consent letter, or AWC, regarding its failure to supervise firm sales of non-traditional ETFs, or exchange-traded funds. [read post]
28 Nov 2011, 1:16 pm
Taylor, who brought a securities fraud claim before a Financial Industry Regulatory Authority (FINRA) arbitration panel alleged that Securian “misrepresented the real estate investments as being safe” and also that “the firm failed to supervise its broker. [read post]
15 Mar 2014, 1:29 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned financial advisor John H. [read post]
21 Oct 2022, 2:09 am
KLDiscovery Inc. [read post]
8 Sep 2016, 7:39 am
The securities fraud lawyers of Gana LLP are investigating customer complaints and regulatory actions filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Richard Poston (Poston). [read post]
27 Jan 2017, 12:53 pm
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Sorensen (Sorensen) currently associated with Allegis Investment Services, LLC (Allegis Investment), d/b/a Soresnsen Financial, Inc., alleging unsuitable investments, unauthorized trading, and misrepresentations among other claims. [read post]
16 Oct 2019, 10:38 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Peggs concerns allegations over several different investment products including equities, options, and variable annuity sales practices. [read post]
23 Jun 2009, 4:31 am
Attorneys for the Public Investors Arbitration Bar Association (PIABA) recently submitted a proposal to the SEC to eliminate the requirement that a securities industry arbitrator sit in on all public investor cases arbitrated before the Financial Industry Regulatory Authority (FINRA) in which the amount in controversy exceeds $100,000.00. [read post]
28 Aug 2015, 12:06 pm
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
23 Feb 2019, 2:38 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dudley Stephens (Stephens), formerly associated with Coastal Equities, Inc. [read post]
FINRA arbitration filed against Questar Capital and Centaurus Financial to recover investment losses
9 Feb 2015, 10:56 am
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Questar Capital and Centaurus Financial. [read post]
23 Apr 2021, 11:49 am
Boutique Broker-Dealer Pays Another 7-Figures to Resolve Customer Disputes Independent brokerage firm Purshe Kaplan Sterling Investments, Inc. has agreed to settle another Financial Industry Regulatory Authority (FINRA) arbitration claim with investors. [read post]
26 Apr 2012, 8:25 pm
FINRA recently announced that Joel Blumenschein, president of Freedom Investors Corp. and a board member of the Financial Industry Regulatory Authority Inc., has been suspended as a principal of his firm for three months and fined $30,000 in a failure-to-supervise case. [read post]
7 Dec 2011, 8:25 am
The case is being filed with the Financial Industry Regulatory Authority ("FINRA") today for alleged improper supervision and selling away, relating to an alleged Ponzi scheme that devastated a Bronx community. [read post]
