Search for: "Financial Industry Regulatory Authority"
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3 Sep 2015, 7:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned five brokers formerly associated with now expelled brokerage firm HFP Capital Markets LLC (HFP Capital) (Case No. 2010024522103) including brokers Jonah Engler (Engler), Brett Friedberg (Friedberg), Jonathan Sheklow (Sheklow), Joshua Turney (Turney), and Hector Perez (a/k/a Bruce Johnson) (Perez) concerning allegations that between December 2009, and February 2011, the five brokers fraudulently sold a… [read post]
27 Oct 2021, 8:07 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) both published online resources for World Investor Week 2021 in which they discuss emerging risks for individual investors. [read post]
14 Aug 2020, 12:43 pm
A recent enforcement action offers a glimpse of the Financial Industry Regulatory Authority’s (“FINRA”) expectations for firms conducting anti-money laundering (“AML”) due diligence and transaction monitoring. [read post]
6 Aug 2020, 2:55 pm
A recent enforcement action offers a glimpse of the Financial Industry Regulatory Authority’s (“FINRA”) expectations for firms conducting anti-money laundering (“AML”) due diligence and transaction monitoring. [read post]
2 Sep 2011, 7:34 pm
Perlow is a frequent speaker and author on topics relating to investment management and the law, and he teaches a class at the UC Berkeley School of Law on the structure and regulation of capital markets and financial institutions. [read post]
17 Jul 2019, 7:30 am
FINRA Broker Disciplinary Action Report: July 2019Each 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 May 2018, 11:11 am
Jeffrey Dragon – Berthel Fisher – Supervisory Issues – Update According to the Financial Industry Regulatory Authority (FINRA) on February 5, the regulator censured and fined Berthel, Fisher & Company Financial Services (CRD #13609, Cedar Rapids, Iowa) for supervisory issues regarding former advisor Jeffrey Dragon and alleged sales of unit investment trusts. [read post]
11 Mar 2014, 5:52 am
The Financial Industry Regulatory Authority (FINRA) imposed a permanent bar against Gary J. [read post]
18 Mar 2021, 7:27 am
FINRA Complaint Alleges Broker Kishan Parikh made Unsuitable Investments, Excessive Trades According to public records, the Financial Industry Regulatory Authority (FINRA) has filed a complaint against financial advisor Kishan Parikh (also known as Sean Parikh, CRD #5506554) for allegations of excessive trading and unsuitable recommendations. [read post]
16 Sep 2022, 10:39 am
David Lerner Advisor Jeffrey Basford Allegedly sold Unsuitable Energy Investments to Clients According to the Financial Industry Regulatory Authority, on August 15, 2022, the regulator has barred financial advisor Jeffrey Basford (CRD # 5077566) of Westport, Connecticut after allegations that he sold unsuitable energy investments to his clients. [read post]
27 Feb 2017, 7:40 am
According to The Financial Industry Regulatory Authority, financial advisor Austin W. [read post]
9 Apr 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) fined broker-dealer, Berthel Fisher & Co. [read post]
12 May 2020, 8:21 am
Broker David Weisberg, Worden Capital Management in New York, NY According to public records on the Financial Industry Regulatory Authority (FINRA) website, David Weisberg was reportedly suspended from associating with any FINRA member for 11 months and sanctioned with a fine of $7,500.00, plus disgorgement of $75,638.00. [read post]
14 May 2020, 5:50 am
On April 28, 2020, the Financial Industry Regulatory Authority’s (FINRA) Department of Enforcement filed a complaint against an ex-Ameriprise representative, alleging he converted more than $42,000 of an elderly client’s funds for his own use. [read post]
18 Jan 2010, 5:14 pm
A former Morgan Stanley broker was barred today by the Financial Industry Regulatory Authority Inc. for allegedly misappropriating $11,156.47 from the charitable foundation of a 97-year-old nursing home resident who was his client for more than 20 years. [read post]
11 May 2010, 1:38 pm
Meanwhile, the Securities and Exchange Commission (SEC) announced yesterday that it has met with the leaders of the Financial Industry Regulatory Authority, NASDAQ, BATS, Direct Edge, ISE and the CBOE, and that all parties have agreed on a structural framework for strengthening circuit breakers and handling erroneous trades. [read post]
30 Dec 2013, 6:33 am
Isaacs (Issacs) of Investors Capital Corporation (ICC) was recently suspended and sanctioned by The Financial Industry Regulatory Authority (FINRA) over allegations that Isaacs made negligent material misrepresentations of fact in connection with the unsuitable sale of two private placements to ICC customers. [read post]
6 Feb 2011, 4:31 pm
If you are an elderly investor looking for a conservative way to invest in the stock market, you should be aware of an Investor Alert recently issued by the Financial Industry Regulatory Authority ("FINRA") regarding the dangers of equity indexed annuities ("EIAs"). [read post]
20 Jul 2021, 8:13 am
The Financial Industry Regulatory Authority (FINRA) has censured and fined Wilson-Davis, a self-clearing broker-dealer that specializes in microcap liquidation and trading, according to a letter of acceptance waiver and consent on July 16. [read post]
15 Feb 2016, 5:00 am
The Financial Industry Regulatory Authority (“FINRA”) recently filed its revised pay-to-play rules proposal with the Securities Exchange Commission (“SEC”). [read post]
