Search for: "Financial Industry Regulatory Authority"
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16 Sep 2019, 6:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Sullivan concern allegations of excessive trading also referred to as churning. [read post]
1 Sep 2022, 7:30 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Richer’s customer complaints alleges that Richer recommended unsuitable investments in various investments among other allegations of misconduct relating to the handling of their accounts, including failure to supervise and unauthorized trading. [read post]
7 Oct 2013, 4:34 pm
The Financial Industry Regulatory Authority (FINRA) has barred Chad David Kelly (Kelly) concerning allegations of churning (excessive trading) and unauthorized trading. [read post]
22 Mar 2022, 12:31 pm
Dempsey Lord Smith Censured & Fined for Unsuitable Sales of GPB Capital Offerings FINRA Reportedly Sanctions Dempsey Lord Smith for GPB Capital Investments According to The Financial Industry Regulatory Authority (FINRA) on March 21, the regulator has reportedly censured and fined Dempsey Lord Smith LLC $70,000 after the firm allegedly negligently failed to inform four clients about important facts pertaining to GPB Capital offerings. [read post]
22 Mar 2022, 11:04 am
FINRA Reportedly Censures and Fines BD4RIA Inc. for withholding Material information involving GPB Holdings II LP According to The Financial Industry Regulatory Authority (FINRA) on March 18, the regulator has reportedly censured and fined BD4RIA Inc. $45,000 after the firm allegedly negligently failed to inform seven clients important facts pertaining to a GPB Capital offering. [read post]
22 Oct 2020, 9:03 pm
Emily Miles said the coronavirus pandemic has served as a reminder of the financial problems local authorities have had to contend with in recent years. [read post]
26 Sep 2017, 6:42 am
WFG has recently been the focus of The Financial Industry Regulatory Authority for supervisory issues. [read post]
4 Apr 2018, 11:28 am
There have been a number of regulatory updates in the first quarter of the year in the digital asset space. [read post]
5 Oct 2012, 11:20 am
The Financial Industry Regulatory Authority (FINRA), the self-regulatory entity responsible for the administration of examinations for stockbrokers and financial advisors, maintains its BrokerCheck website at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/. [read post]
8 Jan 2024, 12:34 pm
PIABA and FINRAPIABA, the Public Investors Arbitration Bar Association, collaborates with FINRA, the Financial Industry Regulatory Authority, on matters related to investor protection and securities arbitration. [read post]
15 Aug 2023, 4:00 am
Fair Lending Laws Regulatory Tracker contains key rules from bank regulatory agencies (final and proposed) on federal consumer fair lending regulations. [read post]
16 Feb 2024, 3:24 am
" Industry News – Sustainable Development Beat Digital Leaps and Regulatory Reforms: Europe’s Surge in Sustainable Business Practices ComplexDiscovery Staff As Europe strides ahead in the sustainable investment and compliance landscape, its vigorous push towards Eco-friendly operations is compelling businesses to adapt and evolve. [read post]
24 Apr 2015, 4:07 pm
Beck”) submitted a Letter of Acceptance Waiver, and Consent (“AWC”) to settle allegations of sales practice violations by the Financial Industry Regulatory Authority (“FINRA”). [read post]
15 Jun 2016, 7:00 am
Last month, the Financial Industry Regulatory Authority (“FINRA”) suspended an Ameriprise registered representative for one year and fined him $50,000 for altering a record in the client relationship management (“CRM”) software that the adviser used in his Ameriprise office. [read post]
29 Jul 2020, 1:42 pm
The Financial Industry Regulatory Authority (“FINRA”) provides an arbitration process for investors to resolve disputes with their securities advisors. [read post]
12 Oct 2017, 7:15 am
In September 2017, the Financial Industry Regulatory Authority updated a previously published Notice related to FINRA Rules 12805 and 13805, which “establish procedures that arbitrators must follow before recommending expungement of customer dispute information related to arbitration cases from a broker’s Central Registration Depository (CRD®) record. [read post]
22 Aug 2023, 3:00 am
Bank M&A Transactions Checklist Explore this checklist outlining key regulatory due diligence considerations specific to M&A transactions in the U.S. banking industry. [read post]
2 Aug 2019, 8:54 am
According to the Wall Street Journal article, LetsMakeAPlan.org, a directory that prospective clients use to find CFP professionals, makes no mention of disciplinary strikes against more than 6,300 financial advisors on the website, even though those advisors have disclosed customer complaints and more to the Financial Industry Regulatory Authority. [read post]
9 Nov 2018, 9:05 am
Simanski’s investor fraud failed over two years ago when an investor submitted a complaint to the Financial Industry Regulatory Authority accusing the former Next Financial broker of not repaying him. [read post]
16 Jun 2024, 9:30 pm
It also shows how American bankers, through financial innovation and clever lawyering (including a cameo by Robert Bork), broke down the system of regulatory federalism that had restrained finance since the New Deal. [read post]
