Search for: "Financial Industry Regulatory Authority"
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25 Jan 2018, 11:33 am
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including compliance with federal and state laws and rules. [read post]
25 Jan 2018, 7:21 am
FINRA Awards $4 Million to Investors According to The Financial Industry Regulatory Authority yesterday, FINRA arbitrators awarded more than $4 million to a group of investors for risky, unsuitable investments reportedly recommended by their broker, Anthony Diaz. [read post]
24 Jan 2018, 7:56 am
In addition to her public and regulatory policy involvement, Ms. [read post]
23 Jan 2018, 7:16 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Olson was subject to a customer complaint in December 2016. [read post]
23 Jan 2018, 7:15 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), Theordore Crowley (Crowley) has been subject to a customer complaint. [read post]
23 Jan 2018, 7:14 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Brent Van Lott (Lott) is being investigated for allegedly violating FINRA rules. [read post]
22 Jan 2018, 6:58 am
PlanMember recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). [read post]
22 Jan 2018, 4:33 am
It's an interesting seven-year journey from customer complaint to a FINRA Arbitration Decision, and an intriguing exercise in how the pros and cons of such a case are weighed.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2017, Claimant Mink sought the expungement from his Central Registration Depository record (“CRD”) of... [read post]
19 Jan 2018, 11:12 am
Investigation involving Guillermo Valladolid According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred Guillermo Valladolid (CRD # 4553357, La Jolla, CA) from the Securities Industry. [read post]
19 Jan 2018, 1:46 am
UBS Complex Director Wins Margin Call Battle (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3779/finra-expungement-margin/The Financial Industry Regulatory Authority recently warned that margin debt has risen sharply in recent months to an all-time high of $627.4 billion. [read post]
18 Jan 2018, 4:55 pm
On January 8, 2018, the Financial Industry Regulatory Authority (“FINRA”) published its Annual Regulatory and Examination Priorities Letter (“2018 Letter”). [read post]
18 Jan 2018, 9:10 am
According to a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Hancock Investment Services was censured and fined $100,000. [read post]
18 Jan 2018, 8:47 am
The problems of conforming to evolving norms becomes more difficult where states project their authority through commercial enterprises. [read post]
18 Jan 2018, 8:43 am
Securities Investigation – Jeffrey Krupnik and Wells Fargo According to the Financial Industry Regulatory Authority, a FINRA hearing panel has barred former advisor Jeffrey Krupnick for stealing $143,000. [read post]
18 Jan 2018, 7:24 am
Investigating Potential Claims Involving Charles Fackrell and LPL Financial According to the Financial Industry Regulatory Authority (FINRA), a FINRA Dispute Resolution panel has ruled that LPL Financial must pay $462,000 in connection with a Ponzi scheme perpetrated by one of its former brokers. [read post]
17 Jan 2018, 10:05 am
Kerby of Edward Jones According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred Matthew D. [read post]
17 Jan 2018, 6:21 am
The investment lawyers at Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Luigi Mancusi (Mancusi). [read post]
17 Jan 2018, 6:21 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Royster (Royster), formerly associated with HD Vest Investment Services (HD Vest), in November 2017, was barred from the financial industry by FINRA concerning allegations that he borrowed funds from clients. [read post]
16 Jan 2018, 8:42 am
Assertively seek legal authorization to offer notice to users. [read post]
16 Jan 2018, 3:23 am
The Financial Industry Regulatory Authority ("FINRA") recently posted "Margin Debt at Record Levels: Know the Risks" http://www.finra.org/investors/highlights/margin-debt-record-levels-know-risks, which warns that:Like the stock market, margin debt has risen sharply in recent months. [read post]
