Search for: "Financial Industry Regulatory Authority"
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3 Oct 2018, 9:45 am
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Kenahan has been subject to four customer disputes, three of which are still pending. [read post]
16 Dec 2009, 6:33 pm
In February 2009, new changes to the Financial Industry Regulatory Authority’s (FINRA) Code of Arbitration Procedure became effective. [read post]
14 Sep 2015, 6:19 am
The Financial Industry Regulatory Authority (FINRA) sanctioned Rainmaker Securities, LLC (Rainmaker Securities) and its President Glen Anderson (Anderson) (Case No. 2013035059001) alleging that From June 2011 through September 2014, Rainmaker Securities, acting through Anderson, failed to devote adequate time, attention, and resources toward supervision. [read post]
5 Jun 2012, 8:35 am
Last week, the Financial Industry Regulatory Authority (FINRA) fined broker-dealer Brookstone Securities $1 million in connection to sales of risky tranches of collateralized mortgage obligations (CMOs) to elderly clients. [read post]
29 Jul 2009, 8:00 am
Before discussing the Financial Industry Regulatory Authority's (FINRA's) latest action against Merrill Lynch and UBS, I want to share a related story about a client at my San Mateo, California, securities law practice who had invested a substantial part of her portfolio in a Closed-End Fund (CEF) that, unknown to her, was purchased as part of an Initial Public Offering (IPO). [read post]
12 Nov 2016, 10:32 am
Records kept by The Financial Industry Regulatory Authority’s (FINRA) concerning broker Joel Burstein Jr. [read post]
14 Jul 2021, 9:23 am
According to public records posted on FINRA’s site on July 1, the Financial Industry Regulatory Authority has reportedly censured and fined Sanctuary Securities $160,000 and ordered the firm to pay more than $360,000 in restitution to customers for alleged failure to properly supervise their reps’ solicited sales of non-traditional ETFs, among other misconduct. [read post]
24 Nov 2014, 6:15 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) barred broker Eric Johnson (Johnson) concerning allegations that Johnson misappropriated more than $1,000,000 from at least six firm customers’ brokerage accounts. [read post]
29 May 2014, 10:26 am
The Financial Industry Regulatory Authority (FINRA) has permanently barred Jeffrey Dean Schrader from working in the securities industry in connection with securities sold in an alleged ponzi scheme. [read post]
28 Oct 2013, 7:38 am
According to Investment News, well-known Hollywood broker Bambi Holzer is facing charges from the Financial Industry Regulatory Authority (FINRA). [read post]
9 Mar 2018, 6:44 am
Utah Investor Alleges High Risk Products were Unsuitable According to the Financial Industry Regulatory Authority (FINRA), a FINRA arbitration panel awarded $404,482 to a client of Aegis Investment Advisors and former broker Brandon C. [read post]
26 Jul 2018, 11:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jennifer Ling (Ling), formerly associated with Axiom Capital Management, Inc. [read post]
27 Dec 2017, 12:32 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $462,000 to former clients of Charles Fackrell, a former LPL broker serving prison time currently. [read post]
22 Feb 2023, 9:35 am
FINRA Reportedly Bars Antoine Souma from the Securities Industry According to public documents, the Financial Industry Regulatory Authority (FINRA) has barred former broker and investment advisor Antoine Souma (CRD#: 4210987) from associating with any FINRA member at any time. [read post]
21 Sep 2018, 5:57 am
FINRA Broker Disciplinary Action Report September 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]
27 Jul 2018, 9:26 am
FINRA Broker Disciplinary Action Report April 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]
12 Sep 2011, 10:00 am
In effect, the Council’s main function would be to impose structural checks on regulatory capture and to diffuse the industry’s power to control the regulatory agenda by putting both financial regulators and financial institutions under constant and intense public scrutiny. [read post]
24 Oct 2008, 11:17 pm
Their Financial Industry Recovery Group advises clients on matters related to managing liquidity, dealing with troubled assets and assuring capital adequacy in a changing regulatory environment. [read post]
29 Nov 2011, 12:02 pm
According to the Financial Industry Regulatory Authority (FINRA), Next Financial sold $20 million of three separate Provident private placements from July 2008 to January 2009. [read post]
18 May 2023, 11:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Hershberg was employed by Morgan Stanley Smith Barney, LLC (Morgan Stanley) at the time of the activity. [read post]
