Search for: "Financial Industry Regulatory Authority"
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8 Dec 2015, 6:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Marinelli has been the subject of at least 3 customer complaints, 1 employment termination, 2 judgment or liens, and 1 criminal matter. [read post]
17 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]
23 Aug 2018, 5:05 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Manor has been subject to two customer disputes concerning unsuitable investment recommendations and false representations of investments. [read post]
21 Apr 2015, 7:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Daniel Retzke (Retzke) concerning allegations Retzke refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into possible private securities transactions and the soliciting of a loan (also referred to as “selling away”). [read post]
8 Apr 2015, 3:17 pm
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Michael Korson (Korson) concerning allegations that from February 2011 through August 2012, Korson failed to disclose to PFS Investments, Inc. [read post]
30 Nov 2017, 7:04 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Patrick Maddren (Maddren) has been subject to two customer complaints and two tax liens. [read post]
12 Sep 2018, 8:32 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA). [read post]
27 Feb 2015, 6:41 am
The Financial Industry Regulatory Authority (FINRA) filed a complaint against broker Daniel McCourt (McCourt) concerning allegations McCourt participated in private securities transactions, also known as “selling away”, without providing prior written notice to his member firm. [read post]
9 Dec 2017, 12:26 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Donald Devito (Devito) has been subject to 10 customer complaints. [read post]
8 Oct 2018, 10:52 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Erik Pica (Pica) has been subject to three customer complaints. [read post]
26 Apr 2016, 10:19 am
The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against National Securities Corporation (National Securities) broker Jason Wilk (Wilk). [read post]
6 Jul 2017, 2:25 pm
According to BrokerCheck records The Financial Industry Regulatory Authority (FINRA) has filed a complaint against Dennis Mehringer (Mehringer) over allegations that Mehringer made unsuitable recommendations that caused a customer to engage in excessively expensive short-term trading of mutual fund Class A shares. [read post]
27 May 2016, 6:04 am
The securities lawyers of Gana LLP are investigating a customer complaint filed with The Financial Industry Regulatory Authority (FINRA) against broker Nathaniel Clay (Clay). [read post]
30 Jan 2015, 5:22 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Michael Evangelista (Evangelista) concerning allegations that between 2006 and 2011, Evangelista referred approximately six of his firm customers to invest in real estate securities issued by ABC Corp. [read post]
26 Mar 2019, 9:05 pm
States could decide to challenge any of the CFPB’s proposals that would preempt their authority over financial firms. [read post]
9 Sep 2011, 7:30 am
Legislation to be introduced by Financial Services Committee Chair Spencer Bachus (R-Ala) would require investment advisers registered with the SEC and with state authorities to join a self-regulatory organization overseen by the SEC. [read post]
18 Sep 2024, 6:53 pm
January 2019 – The Financial Industry Regulatory Authority (FINRA) reportedly suspended former Wedbush advisor Mark Heiden from associating with any FINRA member for 6 months and fined him $5,000 and ordered him to pay restitution of more than $12,000. [read post]
3 Nov 2022, 7:20 am
After providing an overview of the report, we discuss its key findings, the discrete consumer harms and risks identified by the CFPB, how the CFPB might use its supervisory, regulatory, and enforcement authority in the BNPL market and the likelihood of such use, and state law enforcement and other state activity involving BNPL. [read post]
5 Oct 2009, 1:42 pm
According to information listed in the BrokerCheck section of the Financial Industry Regulatory Authority (FINRA), in June 2009 the Vermont Securities Division charged and fined Woodbury Financial Services for violations involving supervisory failures. [read post]
8 Mar 2017, 6:30 am
Most CFP professionals fall under the jurisdiction of the Financial Industry Regulatory Authority (FINRA) and/or the U.S. [read post]
