Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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24 Apr 2015, 4:07 pm
Beck”) submitted a Letter of Acceptance Waiver, and Consent (“AWC”) to settle allegations of sales practice violations by the Financial Industry Regulatory Authority (“FINRA”). [read post]
27 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and fined Hantz Financial Services, Inc. [read post]
6 Apr 2023, 7:23 am
FINRA BrokerCheck is a free online tool provided by the Financial Industry Regulatory Authority (FINRA) that allows individuals to research and verify the background and professional history of brokers, brokerage firms, and investment advisors. [read post]
29 May 2020, 9:14 am
Alabama Retiree Lost Retirement Savings To Broker Fraud and Negligence An investor in Alabama has filed a Financial Industry Regulatory Authority (FINRA) arbitration complaint against Kestra Investment Services, Inc. for retirement losses that she suffered while working with the now-former broker, James Daughtry. [read post]
22 May 2023, 10:59 am
FINRA Sanctions American Wealth Management for Reg BI Failures According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined American Wealth Management $35,000. [read post]
22 Sep 2018, 10:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Alex Herrera (Herrera), formerly associated with UBS Financial Services Inc. [read post]
29 Oct 2019, 8:56 am
Last week, a New York City panel of arbitrators with the Financial Industry Regulatory Authority (FINRA) unanimously awarded an investor represented by Malecki Law over $200,000 in damages, plus attorneys’ fees of $67,000 and 5% interest dating back to May 2018. [read post]
12 Oct 2015, 7:01 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Lipscomb (Lipscomb) has been the subject of at least four customer complaints and two criminal matters over the course of his career. [read post]
7 Nov 2020, 3:38 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
9 Nov 2018, 5:32 am
(Decision and Order, NYS Appellate Division, First Department; 2018 NY Slip Op 07843 / November 15, 2018)http://www.courts.state.ny.us/reporter/3dseries/2018/2018_07843.htmThe background of this matter is briefly synopsized in the NYS Appellate Division's Decision and Order as follows:Plaintiff, a law professor, sat on the appellate panel of the Financial Industry Regulatory Authority, Inc. [read post]
12 Jun 2023, 4:15 am
Financial Industry Regulatory Authority, Inc., Defendant - and - United States Of America, Intervenor Defendants (Opinion, United States District Court for the District of Columbia, 23-CV-1506) DOJ RELEASES St. [read post]
26 May 2020, 5:43 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Radoo was terminated by his prior employer, Next Financial Group, Inc. [read post]
13 Sep 2015, 6:32 am
The Financial Industry Regulatory Authority (FINRA) barred (Case No. 20150443048) broker Thomas Hogle (Hogle) after the broker failed to respond to a letter from the regulator requesting information. [read post]
2 Jun 2012, 12:00 pm
It is being reported that Brendan Coughlin and Henry Harrison, two co-founders of Provident Royalties LLC, have been fined $50,000 each and suspended from the securities industry for two years, according to a settlement with the Financial Industry Regulatory Authority Inc. [read post]
3 Mar 2014, 3:24 pm
The Financial Industry Regulatory Authority (FINRA) is the securities industry watchdog and regulator of US broker dealers. [read post]
4 Feb 2016, 8:57 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038091901) against Watson. [read post]
9 Sep 2015, 6:17 am
The Financial Industry Regulatory Authority (FINRA) barred former Cetera Advisors LLC (Cetera) broker Bruce Sabourin (Sabourin) after the broker failed to respond to a letter from the regulator requesting information. [read post]
28 Jun 2017, 10:48 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has awarded two investors $793,000 in their Puerto Rico municipal bond fraud case against UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR). [read post]
27 Dec 2017, 7:35 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in August 2017 a customer filed a complaint alleging that Schneider made unsuitable recommendations, over-concentration of accounts, and failed to supervise. [read post]
22 Jun 2009, 7:34 pm
The Financial Industry Regulatory Authority says that RBC Capital Markets Corp., Raymond James & Associates, Inc., and an RBCCMC head trader have settled charges over alleged broker misconduct connected to stock loan improprieties. [read post]
