Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
Results 501 - 520
of 3,180
Sorted by Relevance
|
Sort by Date
11 Apr 2011, 10:50 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined UBS Financial Services, Inc., $2.5 million, and required UBS to pay $8.25 million in restitution for omissions and statements made that misled some investors regarding the "principal protection" feature of the Lehman notes. [read post]
22 Jun 2016, 2:23 pm
According to reports, Ameriprise Financial Services Inc. has agreed to pay a $100,000 fine to settle charges by the Financial Industry Regulatory Authority that the firm failed to supervise closed-end fund sales. [read post]
29 Nov 2015, 4:54 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Schoeppler has been the subject of at least 10 customer complaints, one criminal matter, and three judgments or liens. [read post]
10 Sep 2019, 1:57 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Johnston, formerly registered with Capital Financial Services, Inc. [read post]
5 Aug 2021, 8:09 am
FINRA Reportedly Bars Broker Eugene McAdams after Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor EUGENE ARTHUR MCADAMS (CRD#: 419021) after he reportedly refused to provide on-the-record testimony requested by FINRA in connection with its investigation into the alleged suitability of his recommended securities transactions in… [read post]
18 Oct 2016, 6:50 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Royal Alliance Associates, Inc. [read post]
19 Sep 2015, 9:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Raymond DeRobbio (DeRobbio) has been the subject of seven customer complaints and one regulatory action. [read post]
6 Aug 2012, 2:41 pm
District Court for the Eastern District of Virginia said that Citigroup (C) and UBS (UBS)cannot preliminarily enjoin Financial Industry Regulatory Authority arbitration over an auction-rate securities offering that did not succeed. [read post]
19 Feb 2015, 9:13 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Tory Duggins (Duggins) concerning allegations that between November 2011 through May 2012, Duggins exercised discretionary power in two customer accounts by making 17 transactions without obtaining prior written authorization from the customers. [read post]
19 May 2016, 7:01 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Dennis Van Patter (Van Patter). [read post]
27 Mar 2015, 7:07 am
As we reported, The Financial Industry Regulatory Authority (FINRA) sanctioned Popular Securities, Inc. [read post]
13 Apr 2017, 10:27 am
Horowitz entered into a Letter of Acceptance, Waiver and Consent with the Financial Industry Regulatory Authority, Inc. [read post]
19 Sep 2008, 3:59 pm
Yesterday the Financial Industry Regulatory Authority ("FINRA") announced auction-rate securities settlements with SunTrust Robinson Humphrey, Comerica Securities, First Southwest, and WaMu Investments, Inc. [read post]
13 Oct 2009, 11:00 am
Citigroup, Inc. has agreed to pay a $600,000 Financial Industry Regulatory Authority fine to settle claims that its alleged inadequate supervision of certain derivative transactions between 2002 and 2005 allowed a number of foreign clients to avoid paying taxes on dividends. [read post]
25 Apr 2017, 7:14 am
The securities lawyers of Gana LLP are investigating customer complaints filed with Financial Industry Regulatory Authority (FINRA) against broker Tracy Rae Turner (Turner). [read post]
25 Aug 2023, 11:47 am
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
4 Sep 2010, 5:32 pm
Raymond James and Associates Inc. and financial advisor Larry Milton must pay Rex and Sherese Glendenning $925,000, says a Financial Industry Regulatory Authority panel. [read post]
15 Dec 2014, 8:01 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities transactions (a/k/a “selling away”), and/or unauthorized customer loans. [read post]
2 Sep 2013, 8:33 am
(ACGM), and Harold Kenneth Cohen (Cohen) of Palm Beach, Florida, reached a settlement the Financial Industry Regulatory Authority (FINRA) over the firm’s use of certain hedge fund sales material that allegedly failed to fairly present the risks and potential disadvantages of hedge fund investing. [read post]
20 Jul 2022, 12:17 pm
Hiko, Nevada Financial Advisor, BL Whipple Wealth Management, LLC Three investors have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Newbridge Securities. [read post]
