Search for: "Financial Industry Regulatory Authority"
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24 Aug 2018, 11:47 am
According to public records, Greensburg, Pennsylvania based brokerage firm, Trustmont Financial Group, Inc. was ordered by the Financial Industry Regulatory Authority to pay an aggrieved client more than $1 million in damages. [read post]
24 Aug 2018, 10:55 am
Investigating Potential Claims – Financial Advisor Stewart Malloy – Riverhead, NY According to the Financial Industry Regulatory Authority (FINRA), the regulator is investigating former financial advisor Stewart Malloy for allegedly making unauthorized trades in two clients’ accounts. [read post]
24 Aug 2018, 9:08 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Vanderbilt Securities, LLC (Vanderbilt Securities) broker Mark Kaplan (Kaplan) has been subject to eight disclosed customer complaints, one employment termination for cause, and one regulatory action resulting in an industry bar. [read post]
24 Aug 2018, 9:06 am
In July 2016, Roveccio was sanctioned by the Securities Exchange Commission (SEC) for violating various securities laws, including 17 (a) of the Securities Act of 1933 and Section 10(b) of Securities Act 1934, and the Financial Industry Regulatory Authority (FINRA) Rule 10b-5, which protect investors from misrepresentation of the sale or offer of securities. [read post]
23 Aug 2018, 5:13 am
According to BrokerCheck Records, Gann has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Gann for violations of the securities laws concerning unauthorized trading. [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]
23 Aug 2018, 5:02 am
According to the Financial Industry Regulatory Authority (FINRA), Singer consented to the sanction and bar due to the fact that he refused to appear to the testimony. [read post]
22 Aug 2018, 6:26 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Alan New (New) appears to be an agent for Woodbridge fraudulent note sales. [read post]
21 Aug 2018, 9:17 am
We have represented clients in Federal and state courts and in arbitration through the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange Inc. [read post]
21 Aug 2018, 6:49 am
The report suggests that regulators in addition to the BCFP should take steps to enhance data aggregation activities, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, Department of Labor, and state insurance regulators. [read post]
20 Aug 2018, 1:40 pm
FINRA Broker Disciplinary Action Report August 2018Each 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]
17 Aug 2018, 7:45 am
Moreover, the Defendants represented at oral argument that NH Cohen, which received the July letters, has already disclosed the supposedly defamatory allegations to the Financial Industry Regulatory Authority. [read post]
16 Aug 2018, 5:56 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the tenth annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
16 Aug 2018, 5:38 am
In the case of the Financial Industry Regulatory Authority, we have a self-regulatory-organizatio... [read post]
15 Aug 2018, 9:30 pm
But the industry has responded to these state programs with legal challenges. [read post]
15 Aug 2018, 12:38 pm
The recent Financial Industry Regulatory Authority (“FINRA”) announcement about federal enactment of a substantial piece of legislation that will likely delay close of some foreign direct investment (“FDI”) deals overseen by the Committee on Foreign Investment in the United States (“CFIUS”). [read post]
15 Aug 2018, 5:56 am
National Securities Corporation is registered with the SEC and three self-regulatory organizations: Nasdaq, Cboe BZX Exchanged, Inc., and the Financial Industry Regulatory Authority (FINRA) – and it is with the latter agency that the company has come under intense scrutiny over the last couple of decades. [read post]
15 Aug 2018, 5:28 am
Broker-dealers should be aware that in 2017 the Financial Industry Regulatory Authority announced the approval of modifications to two rules – Rules 203 and 458, imposing similar prohibitions and limitations on capital acquisition brokers (“CABs”). [read post]
14 Aug 2018, 9:30 pm
Decrying the perils of big business and financial fraud in the early 1900s, U.S. [read post]
14 Aug 2018, 1:32 pm
FINRA Bars Buck Over Unauthorized Trading In July 2015, the Financial Industry Regulatory Authority barred Buck from associating with any firm that was a member of FINRA because the self-regulatory firm believed that he had engaged in unauthorized trading and had improperly charged clients. [read post]
