Search for: "Financial Industry Regulatory Authority"
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24 Apr 2012, 8:45 am
After 42 days of hearings spanning the period from January 2011 to March 2012, a Financial Industry Regulatory Authority ("FINRA") arbitration panel has awarded former U.S. [read post]
19 May 2009, 9:39 am
According to a statement released by the Financial Industry Regulatory Authority (FINRA) in May 2009, four (4) other investment firms agreed to repurchase $554 million worth of auction rate securities from investors who were misled about the liquidity of their investments, but SunTrust Investment Services, Inc. and SunTrust Robinson Humphrey, Inc. - both of which are subsidiaries of SunTrust Bank based in Atlanta - withdrew a previous offer to settle with FINRA. … [read post]
21 Jul 2010, 8:49 am
The Dodd-Frank Act effects a profound increase in regulation of the financial services industry. [read post]
17 May 2010, 2:05 pm
She is a leading authority on AML programs, corporate governance, regulatory compliance, fraud control and public corruption matters. [read post]
18 Sep 2020, 10:31 am
” The Financial Industry Regulatory Authority (FINRA) reportedly barred Flynn in June 2018 from associating with any FINRA member at any time after he failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
16 Jul 2023, 7:48 pm
The Financial Industry Regulatory Authority (FINRA) reportedly barred Luke Johnson on July 12, 2023, after the broker allegedly unsuitably invested nine clients in high-risk investments, including GPB Holdings private placements. [read post]
1 Apr 2008, 8:15 pm
The Financial Industry Regulatory Authority (FINRA) conjures thoughts of jack-booted cops looking to "perp-walk" those who take advantage investors. [read post]
31 May 2012, 9:30 pm
The Securities and Exchange Commission (SEC) could improve oversight of the Financial Industry Regulatory Authority (FINRA) according to a government report. [read post]
19 Feb 2009, 8:24 pm
Her paper, co-authored with Professor Adam Feibelman, also from UNC, "Risks, Rules and Institutions" takes up the Treasury Blueprint's proposals for reforming our regulatory structure. [read post]
21 Jul 2015, 6:13 am
On June 23rd, the UK’s Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) [1] finalized a joint bonus compensation rule that was proposed last July. [read post]
9 Jul 2014, 6:41 am
Our law office is investigating potential customer complaints against David Diehl in the wake of the findings and sanctions by the Financial Industry Regulatory Authority (FINRA) concerning allegations that Diehl engaged in private securities transactions, often referred to as “selling away”, and an outside business activity without disclosing these activities to his firm, First Liberties Financial. [read post]
27 Mar 2015, 2:16 pm
(“World Equity”), a broker-dealer, submitted a Letter of Acceptance Waiver and Consent (“AWC”) wherein it agreed to a censure and a $225,000 fine to settle allegations of violations of federal securities law as well as National Association of Securities Dealers (“NASD”) and Financial Industry Regulatory Authority, Inc. [read post]
28 Dec 2017, 9:03 am
JP Morgan Reportedly Violated Customer Protection Rule According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has fined J.P. [read post]
8 Jul 2015, 4:47 am
On April 27, 2015, the Financial Industry Regulatory Authority (FINRA) published a Letter of Acceptance, Waiver, and Consent (AWC), whereby Larry M. [read post]
21 Jan 2020, 12:12 pm
Royal Alliance Reportedly Sanctioned for 2 imprisoned brokers who stole $3.8 million According to the Financial Industry Regulatory Authority (FINRA) this week, Royal Alliance Associates, an independent broker dealer, was censured and fined $400,000 for allegedly failing to catch two former brokers who separately stole more than $3.8 million from the accounts of four customers and are now imprisoned. [read post]
29 Dec 2017, 12:31 pm
Citigroup Global Markets Reportedly displayed inaccurate research ratings According to the Financial Industry Regulatory Authority, the regulator fined Citigroup Global Markets Inc. $5.5 million on Thursday and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities. [read post]
26 Feb 2015, 6:39 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Marc Evans (Evans) concerning allegations that between October 2006 and October 2012, Evans participated in private securities transactions, also referred to as “selling away”, without prior approval of his brokerage firm. [read post]
11 Feb 2014, 6:00 am
Oakes (Oakes) has been suspended and fined by the Financial Industry Regulatory Authority (FINRA) concerning allegations from 2005 through May 2008, Oakes had engaged in unsuitable short term trading of low priced and/or speculative securities in the accounts of at least three customers causing substantial losses. [read post]
17 May 2017, 6:42 am
Customers have filed complaints and The Financial Industry Regulatory Authority (FINRA) recently barred broker John Hudnall (Hudnall) – formerly with U.S. [read post]
Previously Registered Broker Laurence Greene Subject to Unsuitable Oil and Gas Securities Complaints
25 Oct 2018, 6:40 am
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Greene has been subject to two pending customer disputes concerning unsuitable investments. [read post]
