Search for: "Financial Industry Regulatory Authority"
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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]
6 Feb 2024, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bindra’s customer complaint alleges that Bindra recommended unsuitable investments in structured products and makes allegations concerning the misrepresentation of the product among other allegations of misconduct relating to the handling of their accounts. [read post]
5 Dec 2014, 6:19 am
The law offices of Gana LLP are investigating a series of claims before The Financial Industry Regulatory Authority (FINRA) in relation to the conduct of financial advisor Robert Smith (Smith). [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]
18 Oct 2021, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
23 Nov 2019, 8:55 am
According to BrokerCheck records, Rockwell is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm Cetera Advisor Networks LLC (Cetera). [read post]
5 Apr 2013, 1:09 pm
,you may be able to recovery your losses through the Financial Industry Regulatory Authority (FINRA) dispute resolution process. [read post]
5 Mar 2018, 1:23 pm
FINRA Broker Disciplinary Action Report February 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]
