Search for: "Financial Industry Regulatory Authority"
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16 Oct 2017, 10:54 am
FINRA Sanctions Wells Fargo for Risky ETPs According to reports on Monday, the Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo & Co. to return $3.4 million to customers after selling them inappropriate investment products. [read post]
5 Sep 2014, 6:20 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm optionsXpress, Inc. [read post]
8 May 2019, 1:08 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel is ordering Morgan Stanley (MS) to pay a claimant $454,813 for retirement fund mismanagement. [read post]
22 Nov 2013, 10:13 am
On November 12, 2013 the Financial Industry Regulatory Authority (FINRA) launched its new enhanced version of BrokerCheck, an online tool that allows you to review the background of your investment professional. [read post]
18 Jun 2014, 7:08 am
Recently, a Financial Industry Regulatory Authority (FINRA) arbitration panel rendered a decision concerning Wells Fargo Advisors, LLC’s (Wells Fargo) claims against its former broker Steven Grundstedt (Grundstedt) for breach of three promissory notes. [read post]
6 Sep 2018, 9:40 am
Lincoln Investment Planning to pay $1.37 million to clients According to the Financial Industry Regulatory Authority, Inc. [read post]
14 Sep 2016, 10:09 am
UBS Group AG’s wealth management business must pay a combined $750,000 to three investors who claimed damages tied to their investments in Puerto Rico’s debt, according to the Financial Industry Regulatory Authority Inc. [read post]
12 Dec 2014, 7:03 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Global Brokerage Services, Inc. [read post]
17 Aug 2022, 7:03 am
FINRA sanctions Axiom for allegedly ignoring red flags with private placement offering According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly censured and fined Axiom Capital Management $40,000 for allegations that it failed to conduct due diligence on a private placement offering. [read post]
10 Apr 2018, 2:20 pm
Keane guilty of fraud, misrepresentation According to the Financial Industry Regulatory Authority (FINRA) website, a hearing panel has awarded a customer of UBS broker Michael J. [read post]
5 Nov 2008, 6:05 pm
The Financial Industry Regulatory Authority and J.P. [read post]
13 Jul 2017, 5:43 am
State Street Global Markets fined for electronic record-keeping violations The Financial Industry Regulatory Authority Inc. has censured State Street Global Markets and fined it $1.5 million for failing to maintain electronic brokerage records in a non-erasable and non-rewritable format, known as WORM, as required by regulation. [read post]
22 Aug 2019, 12:41 pm
Pica – Joseph Stone Capital, New York, NY On July 22, 2019 The Financial Industry Regulatory Authority (FINRA) reportedly made a preliminary determination to recommend that disciplinary action be brought against Erik Patrick Pica (Erik Pica), alleging that he violated FINRA rules by reportedly converting customer funds, and allegedly providing false or misleading information to Joseph Stone Capital, L.L.C. regarding the disposition of funds from a… [read post]
26 Sep 2017, 6:32 am
Morgan Stanley to pay $13 Million in Fines and Restitution According to The Financial Industry Regulatory Authority (FINRA) on Monday, Morgan Stanley must pay $13 million in fines and restitution to clients for inadequately supervising certain short-term trades. [read post]
30 Jun 2014, 6:07 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Dawson James Securities, Inc., (Dawson James) concerning allegations that the firm did not provide for supervision reasonably designed to comply with certain applicable securities laws and regulations. [read post]
7 Feb 2019, 9:56 am
Michael Castillero – Alexander Capital LP – New York, New York According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Michael Castillero (CRD No. 4583917) from associating with any FINRA member at any time. [read post]
20 Jun 2019, 11:47 am
FINRA Sanctions Ross Sinclaire & Associates for Alleged Violations According to the Financial Industry Regulatory Authority (FINRA) on June 10, the regulator has censured and fined Ross Sinclaire & Associates, a regional broker-dealer that reportedly operates in the mid-west. [read post]
15 Jun 2015, 8:27 am
The Financial Industry Regulatory Authority Inc. recently filed a complaint against a broker who allegedly took advantage of a client with Alzheimer’s disease in an attempt to inherit nearly $2 million. [read post]
6 Dec 2017, 9:53 am
BB&T agrees to provide remediation to affected clients According to The Financial Industry Regulatory Authority, the regulator has censured BB&T Investment Services for overcharging retirement plans and charitable organizations in their purchases of mutual funds. [read post]
11 Dec 2017, 8:45 am
Beck Inc. for Supervisory Issues According toThe Financial Industry Regulatory Authority, on September 27, 2017, H. [read post]
