Search for: "Financial Industry Regulatory Authority"
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23 Oct 2020, 3:00 pm
Peggy Jean Doherty-Punderson of Hill, New Hampshire submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which she was barred for refusing to provide information and documents in violation to FINRA Rules 8210 and 2010. [read post]
4 Dec 2017, 4:03 pm
On September 25, 2017, the Financial Industry Regulatory Authority (“FINRA”) issued a fine of $3.25 million against Morgan Stanley Smith Barney LLC (“Morgan Stanley”) in connection with the brokerage firm’s alleged failure to supervise its brokers’ short-term trades of unit investment trusts. [read post]
12 Mar 2022, 6:55 am
Recently, the Financial Industry Regulatory Authority (FINRA) issued an Order Accepting Offer of Settlement in which Della Rosa was barred from association with any FINRA member in all capacities. [read post]
16 Apr 2021, 6:07 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former Joseph Stone Capital, LLC broker Abdul Rahmani. [read post]
8 Jul 2022, 6:27 am
On June 23, 2022, the Financial Industry Regulatory Authority (FINRA) ordered National Securities Corporation (“NSC”) to pay nearly $9 million in monetary fines and restitution for violating various SEC, NASD, and FINRA rules, including negligently omitting material facts to retail investors connected with offerings related to GPB Capital Holdings, LLC (“GPB Capital”). [read post]
6 Oct 2009, 5:10 am
In July, the Houston-based firm was fined $1 million by the Financial Industry Regulatory Authority (FINRA) for supervisory failures that led to churning of customers' accounts and excessive commissions. [read post]
19 Apr 2022, 9:31 am
He was reportedly affiliated with the following firms, among others, during his career in the securities industry: 12/06/2012 – 03/10/2022, MORGAN STANLEY (CRD#:149777), WILMINGTON, NC, 11/09/2004 – 12/07/2012, WELLS FARGO ADVISORS, LLC (CRD#:19616), WILMINGTON, NC According to a Letter of Acceptance Waiver and Consent issued on April 14, the Financial Industry Regulatory Authority (FINRA) has barred Good… [read post]
11 Apr 2023, 11:53 am
Securities FINRA takes regulatory actions to ensure that member firms and individuals adhere to ethical and legal standards in the securities industry, and to protect investors from fraud and other misconduct. [read post]
15 Dec 2013, 5:45 pm
” Moreover, because global financial institutions can park their higher risk operations almost anywhere, some nations can profit from regulatory arbitrage by keeping their regulatory controls laxer than in the more financially developed nations (which bear the principal share of the costs from financial contagion). [read post]
3 Dec 2020, 8:56 am
If the brokerage firm does sue the former financial advisor, such a suit will likely be filed with The Financial Industry Regulatory Authority ( FINRA). [read post]
29 Jun 2010, 5:00 am
An ultimate goal of financial regulatory reform has been to allow the SEC to align duties for financial intermediaries across financial products. [read post]
13 Apr 2012, 8:55 pm
Federal Reserve Chair Benjamin Bernanke said the Fed is working to address regulatory failures revealed by 2008 financial crisis. [read post]
13 Dec 2018, 8:21 am
The EU passporting system enables banks and financial services companies that are authorized in any EU state to trade freely in any other with minimal additional authorization. [read post]
22 Sep 2008, 8:04 am
The FSA discusses the background of CRAs, the regulatory and industry concerns relating to CRAs, what is being done now to address these concerns, as well as its view on the future role of CRAs. [read post]
20 Oct 2009, 10:57 am
A Special Review Committee (the "Special Committee") appointed by the Board of Governors of the Financial Industry Regulatory Authority ("FINRA") issued a report finding that FINRA missed opportunities to detect the Ponzi Schemes perpetrated by Bernard Madoff and Allen Stanford, according to an October 2 article in InvesmentNews by Sue Asci. [read post]
19 Oct 2016, 7:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Caeron McClintock (McClintock). [read post]
21 Apr 2023, 6:20 am
Turner consented to an Acceptance, Waiver and Consent (AWC) with FINRA the Financial Industry Regulatory Authority, which permanently barred him from the Securities Industry. [read post]
24 Oct 2016, 10:54 am
The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Rotunno (Rotunno). [read post]
28 Mar 2014, 6:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Matthew Westfall (Westfall) concerning allegations that from June 2011, through December 2012, while associated with the National Planning Corporation (National Planning), Westfall engaged in business activities outside the scope of his employment with the Firm. [read post]
19 Apr 2019, 12:04 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Corinthian Partners LLC in New York, NY for allegations that it allegedly failed to supervise the sales of non-traditional ETFs (exchange traded funds) and ETNs (exchange traded notes), including inverse ETFs or leveraged ETFs and failure to supervise their former financial advisor, Victoria Vandyke. [read post]
