Search for: "Financial Industry Regulatory Authority"
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15 May 2013, 2:37 pm
On may 9, 2013 the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) released an Investor Alert to warn investors about the risk involved when selling or buying a pension or structured settlement income-stream. [read post]
23 Jun 2009, 2:20 pm
The Financial Industry Regulatory Authority (FINRA) has issued a warning to those who have or may concentrate too much of their retirement savings in their employer's stock. [read post]
2 Jun 2013, 1:50 pm
This article was originally posted on Stock Market LossThe Financial Industry Regulatory Authority (FINRA) maintains BrokerCheck, an online database that enables anyone to quickly obtain a summary background report about virtually any stockbroker. [read post]
18 Jan 2018, 8:43 am
Securities Investigation – Jeffrey Krupnik and Wells Fargo According to the Financial Industry Regulatory Authority, a FINRA hearing panel has barred former advisor Jeffrey Krupnick for stealing $143,000. [read post]
16 Jun 2014, 7:09 am
On May 6, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it had fined Morgan Stanley Smith Barney LLC $5,000,000 for failure to properly supervise the solicitation of retail clients to invest in initial public offerings (IPOs). [read post]
1 Aug 2019, 10:23 am
FINRA Sanctions Western International Securities for Mutual Fund Overcharges According to the Financial Industry Regulatory Authority (FINRA) on July 16, the regulator has reportedly censured and fined Western International Securities, a broker dealer in Pasadena, California for overcharging customers on mutual fund transactions placed in customers’ accounts. [read post]
9 Jan 2018, 7:54 am
FINRA Orders Broker and Madison Avenue Securities to pay Court costs and fees According to the Financial Industry Regulatory Authority, an all-public FINRA arbitration panel has awarded a California investor the entire amount of her churning claim. [read post]
6 Feb 2014, 10:10 am
Turner & Company, LLC (“JP Turner”), has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that from August 12, 2009, through September 21, 2011, Winterrowd misappropriated approximately $1.5 million from at least four different customers and used the funds for his own purposes. [read post]
11 Sep 2014, 5:49 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm B. [read post]
6 Sep 2014, 7:51 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker David Herlicka (Herlicka) concerning allegations that from 2003 through 2011 Herlicka made unsuitable trade recommendations to seven customers in connection with the sales of Variable Universal Life (VULs). [read post]
22 Oct 2021, 7:48 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have both recently issued warnings about broker and investment advisor imposter scams. [read post]
18 Jun 2015, 12:37 pm
On June 11, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) initiated disciplinary proceedings against John Waszolek (“Waszolek”), a Raymond James & Associates, Inc. [read post]
15 Feb 2008, 11:09 pm
The Financial Industry Regulatory Authority (“FINRA”) has established a new Rule 2290 that requires disclosure of potential conflicts of interest between firms that render fairness opinions and the parties to the corporate transactions that are the subject of the fairness opinions. [read post]
28 Aug 2014, 7:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Blackbook Capital LLC (Blackbook) concerning allegations that: 1) between April 2010 and June 2011, Blackbook charged customers $60.50 on each purchase or sale transaction in addition to or in place of a designated commission; 2) between August 2010, and August 2011, Blackbook failed to search its records in response to requests by the Financial Crimes Enforcement Network of the… [read post]
2 Apr 2014, 5:39 am
On December 11, 2013, the Financial Industry Regulatory Authority (FINRA) sanctioned broker Michael T. [read post]
24 Apr 2014, 6:51 am
On March 12, 2014, the Financial Industry Regulatory Authority (FINRA) announced that it sanctioned and fined Triad Advisors and Securities America, $650,000 and $625,000, respectively, for failing to supervise the use of consolidated reporting systems, after brokers from the firms inaccurately represented the value of some customer holdings, often inflating their overall worth. [read post]
18 Sep 2015, 7:07 am
(“Cape”) was fined $125,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise its personnel, in effect allowing its brokers to recommend unsuitable investments and churn customer accounts. [read post]
12 Sep 2014, 6:10 am
This post picks up on our first article on The Financial Industry Regulatory Authority (FINRA) sanctioning brokerage firm B. [read post]
11 Sep 2018, 10:24 am
Timothy Ayer – HempCoin Cryptocurrency – Securities Fraud Charges According to an announcement today, the Financial Industry Regulatory Authority (FINRA) has filed a complaint against Timothy Ayre of Agawam, Massachusetts, charging him with securities fraud and the unlawful distribution of an unregistered cryptocurrency security called HempCoin. [read post]
28 Feb 2008, 3:05 pm
The Financial Industry Regulatory Authority (FINRA) announced today that five major brokerage firms have agreed to pay fines totaling $2.4 million for supervision violations and improper mutual fund sales to thousands of investors. [read post]
