Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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10 Mar 2021, 1:44 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker George Marshall Warner from the securities industry. [read post]
23 Nov 2020, 9:18 am
FINRA Reportedly Bars Lynn Cawthorne after Alleged Felony Charges According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Lynn Cawthorne on November 16, 2020. [read post]
1 Jul 2018, 4:44 am
According to BrokerCheck records, Pravlik has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Pravlik for various violations of the securities laws. [read post]
19 Dec 2014, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) filed a complaint against brokerage firm SWS Financial Services, Inc. [read post]
23 Apr 2016, 4:57 am
You be the judge.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Dakota Securities International, Inc. and Bruce Martin Zipper submitted a Letter of Acceptance, Waiver and Co... [read post]
11 Oct 2016, 5:57 am
Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Fortrend Securities, Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted... [read post]
20 Jul 2015, 3:15 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue NFP Advisor Services, LLC (f/k/a NFP Securities, Inc.) submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
25 Jul 2018, 7:28 am
Royal Alliance Associates, FSC Securities Corporation, SagePoint Financial, Woodbury Financial Services Censured & Fined According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has sanctioned four firms, Royal Alliance Associates, Inc., FSC Securities Corporation, SagePoint Financial, Inc., Woodbury Financial Services, Inc. for failure to establish, maintain and… [read post]
25 Jan 2017, 6:08 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Douglas Studer (Studer) formerly associated with Kovack Securities Inc. [read post]
4 Feb 2019, 7:07 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Greenblatt’s customer complaints allege that Aziz made unsuitable recommendations in a variety of investments. [read post]
18 Oct 2013, 10:55 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Saxony Securities, Inc. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
4 Jun 2014, 5:41 am
On March 10, 2014, Larry Steven Werbel submitted a Letter of Acceptance, agreeing to accept the sanctions handed down by the Financial Industry Regulatory Authority (FINRA) for alleged violations relating to the sale of penny stocks during his tenure at LPL Financial, LLC. [read post]
3 Nov 2015, 6:23 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Salvatore Pizzimenti (Pizzimenti) has been the subject of at least 4 customer complaints. [read post]
27 Jul 2018, 7:56 am
According to BrokerCheck Records kept by The Financial Industry Regulatory Authority (FINRA), in January 2018, Dixon was barred from the financial industry for failing to appear at an on-the-record testimony concerning allegations that he was exercising discretion without prior written authorization. [read post]
18 Aug 2014, 5:22 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Michael Gerard Kirwan submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Jun 2013, 10:41 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Keith Dow Powell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Mar 2013, 9:39 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Mark David Hurwitz submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
16 Oct 2013, 7:19 am
Nagi entered the securities industry in 1999 with MetLife Securities Inc., where... [read post]
11 Oct 2013, 3:37 am
Nagi entered the securities industry in 1999 with MetLife Securities Inc., where... [read post]
29 Apr 2013, 6:33 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Akber Syed submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
