Search for: "Financial Industry Regulatory Authority"
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19 Aug 2020, 12:33 pm
JP Morgan to pay $650000 in fines plus restitution to customers for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA) on June 22, 2020, J.P. [read post]
26 Sep 2016, 12:47 pm
The Financial Industry Regulatory Authority Inc. [read post]
9 Sep 2013, 1:06 pm
David Mura was recently barred by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) over allegations concerning the sale of unregistered securities away from his associated brokerage firm. [read post]
7 Jan 2020, 8:00 am
Approximately one year ago a customer lodged a dispute with the Financial Industry Regulatory Authority (FINRA) against broker Jeanpierre Ayala (a/k/a J.P. [read post]
12 Sep 2022, 7:23 am
FINRA Reportedly hits Canaccord Genuity Wealth Management (USA) for Supervisory Failures with Private Placement Investments According to a Letter of Acceptance Waiver and Consent posted last week, the Financial Industry Regulatory Authority (FINRA)reportedly sanctioned Canaccord Genuity Wealth Management (USA) on September 8 for supervisory failures in connection with 12 private placement offerings. [read post]
12 Feb 2014, 5:45 am
The Financial Industry Regulatory Authority (FINRA) ordered brokerage firms Stifel, Nicolaus & Company, Incorporated (Stifel Nicolaus) and Century Securities Associates, Inc. [read post]
2 Jul 2019, 12:51 pm
Summit to pay Restitution to Customers for Excessive Trades According to a press announcement on Tuesday, the Financial Industry Regulatory Authority (FINRA) announced that it has sanctioned Summit Brokerage Services, Inc. for supervisory failures. [read post]
3 Jan 2022, 12:02 pm
FINRA Censures and Fines Triad Advisors for Supervisory Failures According to The Financial Industry Regulatory Authority (FINRA) on December 29, the regulator has censured and fined Triad Advisors $195,000 after the firm allegedly failed to supervise recommendations of the high-risk LJM Preservation and Growth Fund (LJM). [read post]
17 Sep 2024, 3:00 am
Blockchain—Key Legal and Regulatory Issues Financial services institutions can gain an understanding of the legislative and regulatory requirements for blockchain technology and view a roadmap containing key legal and regulatory issues that typically arise in relation to blockchain technology. [read post]
18 Aug 2021, 1:21 pm
” To help combat the financial exploitation of seniors, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and North American Securities Administrators Association (NASAA), have joined forces to offer a new training program to securities companies to better protect their over-65 clients. [read post]
19 Feb 2012, 1:24 pm
Since, right now, the third-party assessment industry is virtually non-existent [ALERT: Good job opportunities out there!] [read post]
2 Jun 2010, 1:45 pm
The participating securities regulatory authorities are accepting written comments on the proposals until September 17, 2010. [read post]
26 Jan 2018, 5:50 am
FINRA Broker Disciplinary Action Report January 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
23 Jan 2020, 2:05 pm
FINRA Broker Disciplinary Action Report: January 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
28 Jan 2019, 1:34 pm
FINRA Broker Disciplinary Action Report January 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
20 Aug 2021, 2:09 am
The Financial Conduct Authority (FCA) has published the latest portfolio letter to life insurance firms. [read post]
15 Nov 2019, 11:32 am
Jaime Michael Westenbarger, a former broker, and investment adviser was barred by the Financial Industry Regulatory Authority (FINRA) based on the allegations of his refusal to provide the information and document requested by FINRA in the course of an investigation against him, according to an investigation by investor rights attorney, Alan Rosca. [read post]
15 Nov 2019, 11:32 am
Jaime Michael Westenbarger, a former broker, and investment adviser was barred by the Financial Industry Regulatory Authority (FINRA) based on the allegations of his refusal to provide the information and document requested by FINRA in the course of an investigation against him, according to an investigation by investor rights attorney, Alan Rosca. [read post]
18 Dec 2013, 6:01 am
Advisor Thomas Mikolasko, (Mikolasko) of HFP Capital Markets LLC (HFP) was recently suspended and fined by The Financial Industry Regulatory Authority (FINRA) over allegations that Mikolasko engaged in the sale of $3 million in Senior Secured Zero Coupon Notes sold to 58 customers of HFP for Metals Millings and Mining LLC (MMM) in a private placement offering. [read post]
7 Oct 2011, 9:01 am
Bank of America subsidiary Merrill Lynch, Pierce, Fenner andamp; Smith Inc. has been fined $1 million by the Financial Industry Regulatory Authority, or FINRA, for failure to supervise one of its stockbrokers at its branch office in San Antonio, Texas. [read post]
