Search for: "Financial Industry Regulatory Authority"
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29 Nov 2018, 2:36 pm
The Financial Industry Regulatory Authority (FINRA) has suspended David Howard Fagenson, a former UBS Financial Services (UBS) broker, for eight months. [read post]
28 Nov 2018, 9:15 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Frank Dietrich. [read post]
28 Nov 2018, 4:36 am
The audience may get lost in Act I and never catch the drift thereafter.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2018, and as am... [read post]
27 Nov 2018, 12:49 pm
The Financial Industry Regulatory Authority (FINRA) is ordering H. [read post]
27 Nov 2018, 5:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor John Schmidt (Schmidt), formerly associated with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) in Dayton, Ohio has been accused by the Securities and Exchange Commission (SEC) of misappropriating over $1.16 million from at least seven clients. [read post]
27 Nov 2018, 5:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Kujawski concern allegations of unsuitable investments and material misrepresentations concerning investments being recommended. [read post]
26 Nov 2018, 12:00 am
(Id.)The TSC Report also recommends that cryptoassets be regulated by the Financial Conduct Authority (the “FCA”) under the RAO, rather than trying to build a new regulatory regime specifically for the cryptomarket (Id.) [read post]
24 Nov 2018, 11:20 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Stimpson concern allegations of unsuitable investments in a put options trading strategy. [read post]
24 Nov 2018, 10:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Dexter Thomas (Thomas), formerly associated with United Planners Financial Services of America LP (United Planners) in Dallas, Texas has been accused by his former firm over unapproved securities and making client loans. [read post]
23 Nov 2018, 4:06 am
He was also subject of a Financial Industry Regulatory Authority complaint in 2008 accusing him of excessive trading and unsuitable trading in clients’ accounts. [read post]
22 Nov 2018, 6:00 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Kelley concern allegations of unsuitable investments. [read post]
21 Nov 2018, 10:57 am
The former UBS broker, known to many on the island as “Whopper,” and UBS Puerto Rico have together been the subject of dozens of Financial Industry Regulatory Authority (FINRA) arbitration complaints brought by customers claiming they sustained massive investment losses because not only did UBS and Ramirez-Arone sell the customers Puerto Rico bonds while misrepresenting the risks, but also, the finer broker recommended that they borrow money to… [read post]
19 Nov 2018, 5:00 am
Such events reinforce climate change’s enormous long-term financial costs. [read post]
19 Nov 2018, 4:44 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2017, associated person Claimant Barsegyan asserted breach of contract, unjust enrichment, and conversion in connection with what the FINRA Arbitration Decision characte... [read post]
18 Nov 2018, 8:30 pm
In its Atrium complaint, the Justice Department asserts that Atrium’s steering restrictions harm payers and consumers in violation of federal antitrust laws by obstructing the ability of insurers to design health benefit plans that give patients financial incentives to choose more cost-effective hospitals and physicians. [read post]
18 Nov 2018, 11:00 am
A Financial Industry Regulatory Authority arbitration panel has awarded eight retirement investors $1,019,211 in a Texas real estate investment trust case involving three United Development Funding (UDF) REITs. [read post]
18 Nov 2018, 6:22 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Floyd Powell (Powell), formerly associated with MML Investors Services, LLC (MML Investors) in Albertville, Alabama has been accused by at least four clients of selling fraudulent investments. [read post]
16 Nov 2018, 12:41 pm
FINRA Broker Disciplinary Action Report November 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]
15 Nov 2018, 11:08 am
First, a brief summary of the facts, though you can see more in my earlier posts on the case, here and here: Plaintiff, a law professor, sat on the appellate panel of the Financial Industry Regulatory Authority, Inc. [read post]
15 Nov 2018, 11:08 am
First, a brief summary of the facts, though you can see more in my earlier posts on the case, here and here: Plaintiff, a law professor, sat on the appellate panel of the Financial Industry Regulatory Authority, Inc. [read post]
