Search for: "Financial Industry Regulatory Authority"
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30 Oct 2020, 6:02 am
The Financial Industry Regulatory Authority’s (FINRA) BrokerCheck tool is a good place to start; but, as FINRA has recently warned, running a search on BrokerCheck might not be enough on its own. [read post]
22 Jan 2011, 1:10 am
Both the Financial Industry Regulatory Authority ("FINRA") and the Securities Exchange Commission ("SEC") issued alerts against the use of these "potentially dangerous" investment vehicles. [read post]
18 Nov 2018, 11:00 am
A Financial Industry Regulatory Authority arbitration panel has awarded eight retirement investors $1,019,211 in a Texas real estate investment trust case involving three United Development Funding (UDF) REITs. [read post]
30 Dec 2009, 9:08 am
So many investors have lost money in investments mis-marketed under assurances the investment was “principal-protected,” or “capital guaranteed,” that the Financial Industry Regulatory Authority (FINRA) has found it necessary to issue a notice (Notice to Member 09-73) reminding brokerage firms of their sales practice duties when recommending investments such as so-called Principal Protected Notes. [read post]
2 Jul 2014, 10:37 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Infinex Investments, Inc. [read post]
25 Jan 2012, 12:23 pm
The fine was part of a settlement with Merrill Lynch announced by the Financial Industry Regulatory Authority (FINRA) on Jan 25. [read post]
5 Dec 2016, 9:44 am
According to reports, The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities LLC $16.5 million for anti-money laundering (AML), supervision and other violations. [read post]
10 Sep 2014, 6:13 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm 79 Capital Securities, LLC (79 Capital) and broker Michael Ward (Ward) concerning allegations around June and July 2012, 79 Capital and Ward posted on the website of a business networking organization sales material regarding GWG Renewable Secured Debentures (GWG Debentures), an illiquid and high-risk alternative private placement investment that omitted material information concerning… [read post]
1 Oct 2009, 11:01 am
A Los Angeles based Financial Industry Regulatory Authority (FINRA) arbitration panel awarded damages to a California resident as a result of losses sustained in the Charles Schwab YieldPlus Fund. [read post]
17 May 2023, 5:25 pm
In May 2023, Lighthouse Capital Group consented to an Acceptance, Waiver and Consent (AWC) with FINRA, the Financial Industry Regulatory Authority, which censured the firm and ordered a penalty fine of $250,000. [read post]
25 Apr 2013, 11:03 am
If you suffered losses as a result of your dealings with Winterrowd you may be able to recovery your investment losses by filing a claim with the Financial Industry Regulatory Authority (FINRA). [read post]
20 Dec 2022, 6:02 am
And how the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA), the not-for-profit overseeing broker-dealers, both effectively warn that, if someone’s not already an accredited investor, they should stay away from pre-IPO investing. [read post]
5 Mar 2014, 6:59 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm Merriman Capital, Inc. [read post]
25 Dec 2014, 4:20 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Sammons Securities Company, LLC (Sammons) over allegations that Sammons failed to establish and maintain a system of supervision that is reasonably designed to achieve compliance with securities laws. [read post]
24 Feb 2014, 2:24 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm PNC Investments LLC, (PNC) concerning allegations from January 2008, through June 2009, PNC failed to establish a supervisory system, including written procedures, reasonably designed to achieve compliance with the FINRA rules in connection with the sale of leveraged, inverse, and inverse leveraged Exchange-Traded Funds (Non-Traditional ETFs). [read post]
15 Feb 2018, 8:43 am
The Financial Industry Regulatory Authority Dispute Resolution FINRA operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
24 Jan 2014, 6:28 am
Brokers Howard Allen (Allen), Joseph McGowan (McGowan), and Peter Pak (Pak) have settled charges brought by the Financial Industry Regulatory Authority (FINRA) concerning allegations that the brokers, while employed by J.P. [read post]
13 Aug 2014, 6:42 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Salomon Whitney, LLC (Salomon Whitney) concerning allegations from July 2008 through November 2009 the firm failed to establish and maintain a supervisory system reasonably designed to monitor transactions in leveraged, inverse, and inverse-leveraged Exchange-Traded Funds (Non-Traditional ETFs). [read post]
6 Feb 2018, 8:02 am
FINRA Sanctions Berthel Fisher and Former Advisor Jeffrey Dragon According to the Financial Industry Regulatory Authority (FINRA) on February 6, the regulator has sanctioned Berthel Fisher for charges of failure to supervise sales of unit investment trusts. [read post]
25 Jun 2021, 5:43 am
The Financial Industry Regulatory Authority (FINRA) shares responsibility with the U.S. [read post]
