Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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18 Oct 2015, 6:43 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Edward Jeffery (Jeffery) has been the subject of one customer complaint and one regulatory action. [read post]
8 Jun 2017, 2:26 pm
Gana LLP’s investment fraud attorneys are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) again broker Todd Douglas Ryman (Ryman). [read post]
25 Apr 2014, 6:30 am
On March 24, 2014, LPL Financial LLC, the fourth largest broker dealer, measured by number of salespersons, was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments. [read post]
5 Sep 2015, 6:23 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
24 Feb 2012, 2:44 pm
” According to the Financial Industry Regulatory Authority (FINRA) CRD, Aaron Donald Vallett was registered with FINRA member firms from December 2001 until June of 2010. [read post]
22 Oct 2012, 10:56 am
The Financial Industry Regulatory Authority is ordering David Lerner Associates, Inc. to pay $14M for allegedly engaging in unfair sales practices involving its Apple REIT Ten and charging clients excessive markups. $12 million of this will be restitution to the investors that bought shares in the $2 billion non-traded real estate investment trust, as well as to clients that were overcharged. $2.3 million is FINRA’s fine against the brokerage firm… [read post]
20 Jun 2013, 5:53 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, David Albert Urovsky submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 Mar 2014, 6:04 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 E. [read post]
31 Jan 2014, 2:10 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, Scott A. [read post]
23 Nov 2015, 2:29 am
FINRA lowers the boom.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, Mark J. [read post]
12 Nov 2014, 2:34 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, Terence Marable submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
3 Oct 2018, 9:42 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Tennison was barred from the financial industry due to a customer complaint alleging Tennison’s selling away activities during his employment at Geneos Wealth Management Inc (Geneos Wealth). [read post]
2 Dec 2016, 8:45 am
On November 17, 2016, the Financial Industry Regulatory Authority, Inc. [read post]
13 Oct 2017, 8:05 am
Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten Island, New York, has been barred from the securities industry. [read post]
14 May 2014, 4:16 am
On March 27, 2014, the Financial Industry Regulatory Authority (FINRA) filed a regulatory complaint against two former brokers from MetLife Securities, Inc., a unit of MetLife Inc. [read post]
9 Sep 2014, 6:55 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker George Zaki (Zaki) concerning allegations that between June 2010, and August 2012, Zaki implemented and/or executed approximately 3,600 discretionary trades in the accounts of approximately 80 Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
28 Mar 2019, 10:36 am
Sam Aziz – Coastal Securities – Dublin, Ohio According to Letter of Acceptance, Waiver & Consent, on March 27 The Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Sam Aziz from the securities industry. [read post]
5 Apr 2023, 7:14 pm
The Financial Industry Regulatory Authority (FINRA) operates BrokerCheck and it provides valuable information to help investors make informed decisions before working with a financial professional. [read post]
4 Jan 2016, 7:25 am
Recently The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044444801). [read post]
9 Apr 2018, 8:27 am
Brunner According to The Financial Industry Regulatory Authority (FINRA), the regulator has barred former New York advisor William G. [read post]
