Search for: "Financial Industry Regulatory Authority"
Results 5241 - 5260
of 11,230
Sorted by Relevance
|
Sort by Date
11 Jul 2019, 8:56 am
For alleged supervisory failures and excessive trading by one of its former brokers, Summit Brokerage Services, Inc. has been ordered to pay over $880K– $558K in restitution with interest to customers that were harmed, as well as a $325K fine to the Financial Industry Regulatory Authority (FINRA). [read post]
4 Feb 2015, 7:03 am
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against brokerage firm Randor Research & Trading Company (Randor) and registered representatives William Scholander (Scholander) and Talman Harris (Harris) alleging that between February 2011, through March 2013, Radnor displayed a pattern of disregard of its supervisory obligations concerning reporting, disclosure, and compliance responsibilities. [read post]
26 May 2018, 10:10 am
While the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) routinely issue alerts warning investors of new trends in investment fraud scams, it is not often that they highlight the same risks at the same time. [read post]
25 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker William (Bill) Tatro, formerly registered with First Allied Securities, Inc. [read post]
2 Aug 2019, 9:21 am
According to the Financial Industry Regulatory Authority (FINRA), and to reports, the regulator has reportedly suspended Nichols for fifteen days and fined him $5,000. [read post]
19 Jul 2019, 11:40 am
56 Settlements with Member Firms & $89 Million in Restitution According to a press announcement on Wednesday, the Financial Industry Regulatory Authority (FINRA) has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearly 110,000 charitable and retirement accounts as a result of its mutual fund fee waiver initiative. [read post]
4 Jul 2014, 5:20 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Polar Investment Counsel, Inc. [read post]
26 Jul 2012, 7:03 am
On July 9, 2012, the Financial Industry Regulatory Authority (FINRA) implemented a new securities rule governing the obligation of brokers to make "suitable" investment recommendations to customers. [read post]
15 Sep 2015, 6:31 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2014038906201) brokerage firm BestVest Investments, Ltd. [read post]
17 Oct 2014, 6:03 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned brokerage firm Huntleigh Securities Corporation (Huntleigh) concerning allegations that the firm failed to establish and maintain a supervisory system regarding the sale of leveraged as well as inverse leveraged exchange traded funds (Non-Traditional ETFs) reasonably designed to achieve compliance with applicable securities laws. [read post]
12 Jan 2021, 1:42 pm
In September of 2018, Financial Industry Regulatory Authority (FINRA) released information about a dispute between Mr. [read post]
20 Dec 2023, 11:01 am
FINRA Investigates Keith Baron, Equity Services Advisor for Broker Misconduct According to public records on December 14, 2023, the Financial Industry Regulatory Authority (FINRA) recommended that disciplinary action be brought against financial advisor Keith Baron (CRD#: 3231494) alleging the following rules violations: FINRA Rule 2010 by making material misrepresentations and omissions to investors; FINRA Rules 3270 and 2010 by failing… [read post]
17 Oct 2011, 1:38 pm
UBS Financial Services Inc. has agreed to settle charges brought by the Financial Industry Regulatory Authority, or FINRA, alleging that UBS failed to supervise a stockbroker who stood on both sides of multiple municipal bond trades to and from his customersandrsquo; retail accounts. [read post]
23 Mar 2023, 12:57 pm
FINRA Rule 2111 Suitability is a regulation established by the Financial Industry Regulatory Authority (FINRA), which governs the suitability of recommendations made by broker-dealers to their clients. [read post]
16 Dec 2022, 8:28 am
In June 2022 we reported that the Financial Industry Regulatory Authority (FINRA) barred Anthony “Tony” (CRD#: 5478479) from the securities industry after Liddle reportedly refused to provided information in its investigation. [read post]
17 Mar 2015, 6:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm World Equity Group, Inc. [read post]
28 Dec 2018, 10:12 am
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. [read post]
30 Oct 2019, 4:56 pm
Financial Conduct Authority in August 2018. [read post]
24 Jan 2024, 1:37 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
13 Nov 2023, 9:01 pm
After performing an initial assessment of current operations and strategies against the Climate Principles, banking organizations will need to continue to monitor regulatory and industry developments to ensure that their systems to identify, measure, monitor, and control exposure to climate-related financial risks are adequate to bolster resiliency and comply with new regulatory requirements and expectations. [read post]
