Search for: "Financial Industry Regulatory Authority"
Results 4461 - 4480
of 11,296
Sort by Relevance
|
Sort by Date
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]
1 Feb 2019, 8:38 am
According to the Court, in seeking to enforce Redwater’s end of life obligations, the AER was acting in the public interest in a bona fide regulatory capacity and did not stand to benefit financially. [read post]
1 Feb 2019, 8:10 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Salles customer complaints allege that Salles made unsuitable recommendations in a variety of investments including junk bonds, Puerto Rico bonds, and structured notes. [read post]
1 Feb 2019, 12:00 am
Regulatorische Vielfalt aus der Perspektive einer Bank Mathias Otto* ZVglRWiss 117 (2018) 542-556 [Regulatory Diversity from a Banking Perspective] The globalization of the financial industry as well as tightened regulation of the sector significantly increased the potential for cross-border regulatory conflicts. [read post]
There was (legislative) movement at the border of 2019 for tobacco and asbestos imports and FTA rule
31 Jan 2019, 8:56 pm
Shortly before Christmas 2018, industry views were sought on proposed changes to the Customs Regulation 2015 and Prohibited Import and Export Regulations regarding the import and export of asbestos in its various forms. [read post]
