Search for: "Financial Industry Regulatory Authority"
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12 Mar 2018, 11:44 am
Broker Mark Kaplan allegedly executed 3,500 trades that resulted in $723,000 in losses According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred broker Mark Kaplan from the securities industry for allegedly churning the account of a 93 year old client reportedly suffering from dementia. [read post]
28 Sep 2013, 6:08 am
Frazier (Frazier) was recently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) over allegations that Frazier made fraudulent statements in the sales of variable annuities. [read post]
4 Dec 2014, 5:21 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Essex Securities, LLC (Essex Securities) alleging that from February 2010, through March 2011, Essex Securities through one of its brokers violated industry rules by engaging in a pattern of unsuitable mutual fund switching, a form of churning, in the accounts of seven customers. [read post]
31 Dec 2013, 5:47 am
A InvestmentNews article recently highlighted the efforts of two U.S. senators that have asked the Financial Industry Regulatory Authority (FINRA) to provide new details on the process that allows brokers to clean their disciplinary records of customer complaints. [read post]
15 Dec 2017, 1:02 pm
Each 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]
24 Apr 2017, 7:59 am
On April 10, 2017, the Financial Industry Regulatory Authority’s (“FINRA”) National Adjudicatory Council (“NAC”) updated FINRA’s Sanction Guidelines. [read post]
9 Sep 2021, 10:25 am
FINRA reportedly Bars Adam Belardino after Allegations of Excessive Trading, Misrepresentation According to public records on September 7, 2021, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Adam Belardino (CRD #5221927) for allegedly failing to provide on-the-record testimony on two occasions. [read post]
22 Jun 2011, 2:56 pm
The Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and several state securities agencies brought charges against Morgan Keegan relating to its management of five fixed-income mutual funds that were loaded with subprime mortgages. [read post]
23 Jun 2014, 4:30 am
A report from FINRA’s Office of the Ombudsman describes its role within the non-governmental organization which regulates U.S. brokerage firms and exchange markets, and summarizes the cases and issues received during 2013. [read post]
3 May 2022, 9:01 am
FINRA Reportedly Bars Edward Jones Broker John Winslow after Allegations of Receiving Funds from a Client The Financial Industry Regulatory Authority (FINRA) has reportedly barred broker John Scott Winslow (CRD#: 3071933) on April 12, 2022 from the securities industry after allegations that he failed to disclose to his member firm that he received funds from a client. [read post]
14 Dec 2015, 6:38 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Sturniolo has been the subject of at least 8 customer complaints. [read post]
26 Aug 2015, 7:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Kosanke (Kosanke) has been the subject of at least two customer complaints. [read post]
13 Jul 2018, 7:17 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in March 2016, James was discharged by his firm, Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) based on allegations that James was engaging in outside business activities, private investments, and borrowing money from clients without disclosing the activities to the firm. [read post]
19 Feb 2018, 5:27 pm
Two new rules the Financial Industry Regulatory Authority (FINRA) adopted last year with Securities and Exchange Commission (SEC) approval took effect on February 5, 2018. [read post]
21 May 2019, 10:38 am
Stockbroker’s Senior Designations According to the Security and Exchange Commission’s website (SEC), neither they or the Financial Industry Regulatory Authority (FINRA) “endorse professional designations or titles such as “senior specialist” or “retirement advisor” that some financial professionals use to market themselves. [read post]
18 Feb 2014, 5:22 pm
He has worked in the banking industry for three decades, most recently as the Head of International Affairs at the Swiss Financial Market Supervisory Authority (FINMA). [read post]
30 May 2024, 7:28 am
Thrivent Investment Management Sanctioned by Securities Regulators Thrivent Investment Management Inc has reportedly been fined $325,000 and sanctioned for failing to properly supervise electronic signatures, which led to the falsification and forgery of customer documents, according to the Financial Industry Regulatory Authority (FINRA). [read post]
22 Jul 2015, 6:26 am
. / Rock Creek Pharmaceuticals (Star Scientific) on the heels of a Financial Industry Regulatory Authority (FINRA) investigation into alleged false and misleading research reports issued by Oits Bradley (Bradley) presumably made about the company. [read post]
25 Aug 2022, 10:51 am
FINRA Reportedly Suspends Byron Martinsen for 15 Months after Allegations According to public records on August 19, 2022, the Financial Industry Regulatory Authority (FINRA) reportedly suspended broker Byron Martinsen for 15 months. [read post]
15 Jan 2015, 7:24 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Popular Securities, Inc. [read post]
