Search for: "Financial Industry Regulatory Authority"
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13 Nov 2017, 1:14 pm
FINRA Fines and Censures Morgan Stanley Smith Barney over Supervisory Issues According to the Financial Industry Regulatory Authority, Morgan Stanley Smith Barney LLC (CRD #149777, Purchase, New York) was issued an AWC on August 22, 2017 in which the firm was censured, fined $500,000, and ordered to pay $103,219.25, plus interest, in restitution to investors. [read post]
8 Jul 2020, 1:09 am
FINRA Sanctions Cadaret Grant for Ex-rep’s Alleged Ponzi-scheme According to The Financial Industry Regulatory Authority (FINRA) on Monday, the regulator has fined broker-dealer Cadaret Grant $200,000, alleging the firm failed to reasonably supervise a former broker in connection with a purported Ponzi-scheme. [read post]
8 Jul 2012, 9:38 pm
The claim, which is seeking $130,000 in damages, was filed with the Financial Industry Regulatory Authority (FINRA). [read post]
6 Feb 2018, 3:43 pm
If so, you may be able to recover your losses with this security on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
21 Mar 2018, 8:15 am
According to a Decision heard before the Financial Industry Regulatory Authority (FINRA), former Morgan Stanley broker Kenneth Mathieson was suspended for one year in all capacities and fined $50,000 for participating in private securities transactions and engaging in outside business activities without prior written notice to, and permission from, Morgan Stanley. [read post]
1 Jul 2015, 12:34 pm
Daggett (“Daggett”) submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) to settle allegations made by the Financial Industry Regulatory Authority, Inc. [read post]
13 Apr 2018, 12:18 pm
FINRA Fines Park Avenue Securities $300,000 over Variable Annuity Sales According to a Letter of Acceptance, Waiver & Consent, The Financial Industry Regulatory Authority Inc. has censured Park Avenue Securities and fined the firm $300,000 for problems in its supervision of variable annuity sales. [read post]
25 May 2012, 2:53 pm
In March 2011, Jason Schlesinger filed a Statement of Claim with the Financial Industry Regulatory Authority (FINRA) alleging breach of contract and seeking $1 million in compensatory damages, punitive damages, costs, and attorneys' fees. [read post]
20 Jul 2017, 8:33 am
FINRA sanctions Trident Partners LTD for Violations Relating to Sale of Steepeners The Financial Industry Regulatory Authority Inc. has censured Trident Partners LTD and fined it $50,000 for supervisory system violations relating to the sale of steepeners. [read post]
9 Feb 2023, 6:18 am
FINRA Censures and Fines Rosenblatt Securities According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has censured and fined Rosenblatt Securities, Inc., a broker-dealer headquartered in New York, NY, $35,000 in connection with private placement sales. [read post]
1 Feb 2012, 6:20 am
The Financial Industry Regulatory Authority ("FINRA") has amended its pending complaint against David Lerner & Associates ("DLA") to add claims against David Lerner ("Lerner"), personally, and to add allegations that DLA continues to make false and misleading claims to potential investors with regard to Apple REITs, non-traded real estate investment trusts. [read post]
22 Jan 2024, 12:16 pm
Wells Fargo’s brokerage subsidiary has been fined $425,000 by the Financial Industry Regulatory Authority (Finra) for allegedly misreporting trade prices on millions of client transactions. [read post]
29 May 2014, 2:56 pm
According to the Financial Industry Regulatory Authority (FINRA), former Arizona broker, Timothy Damien Moran, has been barred from association with any FINRA member in any capacity and ordered to disgorge $200,000 of ill-gotten gains. [read post]
23 Aug 2019, 12:22 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Graetz from association with any FINRA member in all capacities after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in all capacities. [read post]
20 Dec 2022, 7:06 am
Morgan Stanley Advisor Chingyuan “Gary” Chang Reportedly Failed to provide information in FINRA’s investigation According to a Letter of Acceptance, Waiver and Consent on December 19, 2022, the Financial Industry Regulatory Authority (FINRA) reportedly barred Chingyuan “Gary” Chang (CRD #2922898) from any FINRA member at any time after he failed to provide information in an investigation. [read post]
24 Mar 2010, 1:50 pm
The Financial Industry Regulatory Authority (FINRA) has expelled Provident Asset Management, LLC, for marketing a series of fraudulent private placements offered by its affiliate, Provident Royalties, LLC, in a massive Ponzi scheme. [read post]
21 Dec 2018, 12:22 pm
According to Investment News on Tuesday, both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) have recently launched investigations into broker dealers who have sold private placement offerings from GPB Capital Holdings. [read post]
24 Jan 2019, 12:45 pm
UIT Switching Cost Hennion & Walsh Customers $300,000 According to the Financial Industry Regulatory Authority (FINRA), the regulator has sanctioned Hennion & Walsh, a broker-dealer located in Parsippany, New Jersey after an investigation involving unsuitable sales of Unit Investment Trusts. [read post]
6 Mar 2013, 7:00 am
A Financial Industry Regulatory Authority (FINRA) panel has stated broker-dealer Charles Schwab may enforce a class action waiver included in its customer arbitration agreement despite the existence of a FINRA rule that prohibits such waivers. [read post]
24 Sep 2013, 4:33 pm
According to complaint #2010024623501, the Financial Industry Regulatory Authority (FINRA) alleges that registered broker Jeremy G. [read post]
