Search for: "Financial Industry Regulatory Authority"
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9 Feb 2019, 12:37 pm
A Financial Industry Regulatory Authority Panel in Florida Ruled in Assessing $25K in Punitive Damages Rafael Golan and Crystal Bay Securities have been assessed $25,000 in punitive damages by the Financial Industry Regulatory Authority panel in Florida, the aforementioned Reports note. [read post]
9 Feb 2019, 6:43 am
Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Elizabeth Marie Garcia... [read post]
7 Feb 2019, 9:30 pm
” The proposed change would reduce federal regulatory authority under the Clean Water Act. [read post]
7 Feb 2019, 3:03 pm
Along with acting to ensure their own organization’s ability to defend their HIPAA compliance, Covered Entities and their leaders also should take advantage of the opportunity to provide input to OCR on opportunities for simplifying and improving OCR’s HIPAA regulations and enforcement by submitting relevant comments by February 12, 2019 to a Request for Information published by OCR in December that invites suggestions for simplifying or making other improvements to OCR’s… [read post]
7 Feb 2019, 11:39 am
Ben Dembla – (Bhenoy Dembla) – Merrill Lynch – Chicago, IL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Ben Dembla (CRD#4357042) from associating with any FINRA member at any time. [read post]
7 Feb 2019, 9:56 am
Michael Castillero – Alexander Capital LP – New York, New York According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Michael Castillero (CRD No. 4583917) from associating with any FINRA member at any time. [read post]
7 Feb 2019, 9:46 am
The Financial Industry Regulatory Authority (Finra) has permanently barred fired Merrill Lynch broker Bhenoy (Ben) Dembla. [read post]
6 Feb 2019, 2:17 pm
FINRA Panel Orders Capital Securities to Pay Retired Teachers $2.38M A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded retired schoolteachers Beryl Lakin and Janice Patin $2.38M for losses they sustained while they were clients of Capitol Securities Management, which is based in Virginia. [read post]
6 Feb 2019, 12:44 pm
Donald Logan – Waddell & Reed – Silverdale, Washington According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended Donald Logan (CRD #5537486) from acting as a broker for 18 months and fined him $25,000. [read post]
6 Feb 2019, 7:05 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Makharia’s customer complaints allege that Makharia made unsuitable recommendations in a variety of investments including debt securities. [read post]
5 Feb 2019, 12:20 pm
Capitol Securities Management – Glen Allen, VA According to Investment News yesterday, a Financial Industry Regulatory Authority Inc. arbitration panel has awarded two retired schoolteachers a total of $2.38 million for allegations of excessive trading, unauthorized fund transfers and withdrawals, and fraud. [read post]
5 Feb 2019, 8:46 am
Terrence Puricelli- Wells Fargo Advisors – Chesterfield, MO According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Terrence Puricelli, formerly of Wells Fargo Advisors, who was reportedly fired two years ago over allegedly inaccurate notes placed on the wirehouse’s system. [read post]
4 Feb 2019, 2:18 pm
Investors Alleging Negligence and Mishandling of Their Retirement Funds Win FINRA Case A Financial Industry Regulatory Authority (FINRA) panel arbitration is ordering First Allied Securities and financial adviser Larry Glenn Boggs to pay claimants and early retirees Nita and Mike Snow over $578K in compensatory damages, $500,000 in punitive damages, $350K in attorney’s fees, and $60K in other costs related to losses they sustained. [read post]
4 Feb 2019, 8:59 am
The FCA states that in the areas mentioned in the Annex it expects firms to undertake reasonable steps to comply with the changes to their regulatory obligations by exit day. [read post]
4 Feb 2019, 7:45 am
While broker-dealers may try to wash their hands of brokers’ outside business activities, time and again securities industry watchdog, FINRA (the Financial Industry Regulatory Authority) has made it clear that firm are responsible for what their brokers get up to outside of the normal course of business. [read post]
4 Feb 2019, 7:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Carver’s customer complaints allege that Carver made unsuitable recommendations in a variety of securities including alternative investments such as REITs. [read post]
4 Feb 2019, 7:07 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Greenblatt’s customer complaints allege that Aziz made unsuitable recommendations in a variety of investments. [read post]
3 Feb 2019, 9:46 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Wilson’s customer complaints allege that Wilson committed violations of the securities laws with respect to the sale of predominately private placement securities. [read post]
3 Feb 2019, 9:45 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Reznik’s customer complaints allege that Reznik made unsuitable recommendations by concentrating investors in a particular sector, possibly energy. [read post]
1 Feb 2019, 10:51 am
The other securities regulator: a case study in regulatory damage. [read post]
