Search for: "Financial Industry Regulatory Authority"
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21 Jun 2010, 7:05 am
The Securities and Exchange Commission announced that the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) are filing proposed rules to clarify the process for breaking erroneous trades. [read post]
23 Dec 2011, 7:40 am
Financial Industry Regulatory Authority. [read post]
17 Jun 2013, 8:50 am
If you go by some recent cases, it seems like having all that cash around is just too much a temptation for some folks.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, Steven Bruce Grunwerg submitted a Letter of Acceptance, Waiver and Consent… [read post]
15 Jun 2016, 6:18 am
Consider this recent FINRA regulatory settlement.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, Gregory Edward Barr sub... [read post]
22 Jun 2015, 6:17 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Hackney (Hackney) has recently been permanently barred by the agency for failing to respond to requests for documents and information. [read post]
24 May 2012, 7:50 am
Broker-dealers’ conflicts of interest and the proliferation of complex financial products being sold by financial advisers are the top areas of concern to the Financial Industry Regulatory Authority (FINRA), according InvestmentNews (“Ketchum: Finra’s focus on conflicts of interest compounding,” by Bruce Kelly). [read post]
1 Aug 2012, 7:30 am
In this opinion piece, Bloomberg columnist and former investment banker William Cohan discusses his views that the government financial watchdog Financial Industry Regulatory Authority should remove its current system of case arbitration and simply allow financial disputes to be resolved in courts of law. [read post]
22 Jul 2016, 12:07 pm
On March 7, 2016, Lax & Neville LLP, together with a number of other concerned law firms, submitted a letter to Financial Industry Regulatory Authority (“FINRA”) urging it to take action in light of Credit Suisse’s repeated violations. [read post]
22 Jul 2016, 12:07 pm
On March 7, 2016, Lax & Neville LLP, together with a number of other concerned law firms, submitted a letter to Financial Industry Regulatory Authority (“FINRA”) urging it to take action in light of Credit Suisse’s repeated violations. [read post]
19 Sep 2011, 2:33 pm
The Financial Industry Regulatory Authority (FINRA) recently fined UBS Financial Services, Inc. $2.5 million, and required the firm to pay $8.25 million in restitution to customers. [read post]
12 Jun 2012, 6:39 am
In Regulatory Notice 12-05, the Financial Industry Regulatory Authority (FINRA) noted an increasing number of reports of customer funds stolen due to e-mail instructions received from compromised customer e-mail accounts. [read post]
23 Nov 2015, 6:13 am
The attorneys at Gana LLP are interested in speaking with investors of broker Mark Hughes (Hughes) According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Hughes has been the subject of at least 7 customer complaints, and 1 regulatory action over the course of his career. [read post]
13 Nov 2017, 7:51 am
FINRA reportedly bars George Dahl after failure to provide testimony According to the Financial Industry Regulatory Authority in August 2017, George Dahl (CRD #59820, Laguna Woods, California) FINRA issued an AWC in which Dahl was barred from association with any FINRA member in all capacities. [read post]
16 Jun 2018, 1:49 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Salerno has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks including master limited partnerships (MLPs). [read post]
1 Jul 2015, 5:44 am
A recent FINRA regulatory settlement demonstrates how the act of signing a loan application by a registered spouse explodes into a potential career-ending disaster.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FIN... [read post]
14 Jun 2017, 7:52 am
According to the broker’s Financial Industry Regulatory Authority (FINRA) BrokerCheck filing the firm stated that Mosley “was terminated for compliance policy violations related to complying with disciplinary action and heightened supervision, soliciting a prohibited security and suitability of a transaction. [read post]
2 Dec 2020, 5:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Jamison’s customer complaints alleges that Jamison recommended unsuitable investments in various investments including allegations involving energy securities and alternative investments among other allegations of misconduct relating to the handling of their accounts. [read post]
11 Sep 2021, 10:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Jones’ customer complaints alleges that Jones recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts. [read post]
11 May 2020, 6:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Barreras’ customer complaints alleges that Barreras recommended unsuitable investments in various investments including allegations of unsuitable municipal bonds and mutual fund securities among other allegations of misconduct relating to the handling of their accounts. [read post]
31 May 2017, 6:07 am
According to the firm’s Financial Industry Regulatory Authority (FINRA) BrokerCheck filing the firm stated that Russell was in “Violation of Firm policy regarding private securities transactions. [read post]
