Search for: "Financial Industry Regulatory Authority"
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6 Dec 2018, 1:39 pm
Most retail investors have never heard of FINRA, or the Financial Industry Regulatory Authority, until they’ve lost a lot of money due to broker misconduct or investment fraud. [read post]
6 Dec 2018, 11:55 am
The Financial Industry Regulatory Authority (FINRA) has barred yet another ex-broker for selling promissory notes that have since been linked to the $1.2B Woodbridge Ponzi scam. [read post]
6 Dec 2018, 10:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Pepe concern allegations of unsuitable investments. [read post]
6 Dec 2018, 10:10 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Karl Foust (Foust), formerly associated with H.D. [read post]
5 Dec 2018, 12:56 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
5 Dec 2018, 10:53 am
David Fagenson Accused by FINRA of Churning Client Accounts According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended former UBS broker, David Fagenson, for alleged excessive trading in elderly client accounts. [read post]
4 Dec 2018, 1:56 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Doraine concern allegations of unsuitable investments in Puerto Rican bonds and mutual funds. [read post]
4 Dec 2018, 1:55 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Bloom concern allegations of unsuitable investments. [read post]
4 Dec 2018, 12:30 pm
Mitchell Kurtz – Henley & Company – Roslyn Heights, New York According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Mitchell Kurtz (CRD# 2437746) from associating with any FINRA member at any time. [read post]
4 Dec 2018, 11:32 am
According to her BrokerCheck record, the Financial Industry Regulatory Authority has barred Kitts from acting as a broker or associating with a brokerage firm. [read post]
4 Dec 2018, 10:35 am
Ralph VonLutzow – Oberweis Securities – Sarasota, FL According to the Financial Industry Regulatory Authority (FINRA) on December 3, 2018, the regulator has barred former financial advisor Ralph VonLutzow from associating with any FINRA member at any time. [read post]
4 Dec 2018, 8:29 am
– North Kansas City, MO According to the Financial Industry Regulatory Authority (FINRA) on November 30, 2018, the regulator has barred former financial advisor Noel Carino from associating with any FINRA member at any time. [read post]
4 Dec 2018, 4:45 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2018, and as amended thereafter, associated person Claimant Chebuske sought the expungement of a customer complaint, which is referenced in the FINRA Arbitration Decision as "Occurrence Number 1078387.. [read post]
3 Dec 2018, 1:44 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Steinberg concern allegations of unsuitable investments. [read post]
3 Dec 2018, 1:44 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jon Pariser (Pariser), formerly associated with Independent Financial Group, LLC (Independent Financial) in Pacific Grove, California was sanctioned by FINRA resulting in a bar from the industry. [read post]
3 Dec 2018, 1:43 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Gary Pevey (Pevey), formerly associated with Mutual Securities, Inc. [read post]
30 Nov 2018, 2:39 pm
Legend Securities Ordered to Pay Client For Churning His Funds A Financial Industry Regulatory Authority (FINRA) panel has awarded Herbert W. [read post]
30 Nov 2018, 12:01 pm
In October, the Treasury Department rolled out a pilot program to implement the new “critical technologies” authorities under FIRRMA. [read post]
30 Nov 2018, 7:40 am
While the OCC’s position that the DFS lawsuit is not yet ripe for adjudication because the OCC has not yet approved a fintech charter may have some merit, it is important to the industry that the legal question of the OCC’s authority to issue such a charter get resolved expeditiously. [read post]
30 Nov 2018, 4:42 am
Churning Losses Recovery According to the Financial Industry Regulatory Authority Inc. [read post]
