Search for: "Financial Industry Regulatory Authority"
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9 Jul 2018, 2:46 pm
The Act requires business to make disclosures about personal information collected and the purposes for which the information is collected; gives consumers the right to request that a business disclose the categories and specific pieces of personal information the business collects; the right for consumers to request the deletion of personal information; the right to opt out of the sale of personal information; authorizes businesses to offer financial incentives for collection of… [read post]
9 Jul 2018, 2:06 pm
In order to sell stocks to individual investors, securities brokers must register with the Financial Industry Regulatory Authority (FINRA). [read post]
9 Jul 2018, 2:03 pm
The review will analyze the potential benefits and risks for both industry and consumers to determine what (if any) supervisory and regulatory actions are required. [read post]
9 Jul 2018, 2:03 pm
The review will analyze the potential benefits and risks for both industry and consumers to determine what (if any) supervisory and regulatory actions are required. [read post]
9 Jul 2018, 12:59 pm
According to publicly available records with the Financial Industry Regulatory Authority (FINRA), Fortune Financial Services broker Bruce Musselman has been subject to nine customer complaints and one criminal regulatory action. [read post]
9 Jul 2018, 11:05 am
Bradley Tennison – Geneos Wealth Management – Mesa, Arizona According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bradley Tennison from the securities industry. [read post]
9 Jul 2018, 8:27 am
FINRA Bars Abraham Biderman for Failure to Provide Testimony According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Abraham Biderman from the securities industry for failure to provide testimony during an investigation. [read post]
9 Jul 2018, 8:07 am
” CCPA is more expansive than the Vermont law in Sorrell, covering personal information across industries. [read post]
6 Jul 2018, 11:51 am
According to BrokerCheck records, Watts has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Watts for various violations of the securities laws including churning, otherwise known as excessive trading. [read post]
6 Jul 2018, 11:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Mark Solomon (Solomon), formerly associated with M Holdings Securities, Inc. [read post]
6 Jul 2018, 11:46 am
All Financial Industry Regulation Authority (FINRA) member firms have the duty to supervise their brokers. [read post]
5 Jul 2018, 9:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), in January 2018, advisor Larry Boggs (Boggs) was barred indefinitely from the financial industry by FINRA concerning allegations that he engaged in unsuitable investments, excessive trading and unauthorized transactions. [read post]
5 Jul 2018, 8:18 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Frank Dietrich (Dietrich) appears to be an agent for Woodbridge fraudulent note sales. [read post]
5 Jul 2018, 7:04 am
According to his publicly available records with the Financial Industry Regulatory Authority (FINRA), Mitchell Walk has been subject to five customer complaints, two of which are currently pending. [read post]
5 Jul 2018, 7:03 am
According to Patino’s Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), in 2014 and 2016, Patino made material misstatements to a customer and guaranteed the customer against loss in connection with a variable annuity purchase. [read post]
5 Jul 2018, 7:01 am
Brooks, and, because it did, may be liable for investment losses on a contingency fee basis in the Financial Industry Regulatory Authority (FINRA) arbitration forum. [read post]
4 Jul 2018, 11:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor James and Lorraine Conaway (Conaway), formerly associated with USA Financial Securities Corporation (USA Financial) in Tustin, California was terminated by his firm concerning allegations of failure to comply with firm advertising and outside business activity (OBA) procedures, participating in financial transactions with securities… [read post]
3 Jul 2018, 11:52 am
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against George Oldoerp (Oldoerp). [read post]
3 Jul 2018, 11:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), Barcomb has been subject to four customer disputes concerning unsuitable variable annuity recommendations and failure to conduct due diligence on private placement investments. [read post]
3 Jul 2018, 11:41 am
According to BrokerCheck Records kept by The Financial Industry Regulatory Authority (FINRA), Brodt has been subject to four customer complaints alleging breach of fiduciary duty and unsuitable investment recommendations. [read post]
