Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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31 Mar 2014, 8:07 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Allen B. [read post]
4 Nov 2016, 6:02 am
What is more troubling about today's featured case, however, is the manner in which the Financial Industry Regulatory Authority conducted the mandatory arbitration. [read post]
8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
16 May 2023, 9:18 am
FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
18 Jul 2022, 9:35 am
Claimants Allege Unsuitability, Concentration, and Misrepresentation Investors from Utah and Arizona have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim seeking up to $1M in damages related to their GWG Holdings L Bond losses. [read post]
30 Apr 2014, 10:11 am
How does an individual with such an impressive background run afoul of the Financial Industry Regulatory Authority ("FINRA")? [read post]
4 Apr 2016, 10:27 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker William Utanski (Utanski). [read post]
1 May 2015, 1:38 pm
The Financial Industry Regulatory Authority (FINRA) accepted on April 27, 2015 a Letter of Acceptance, Waiver and Consent No. 2013037694701 (AWC) from Stuart Conley, a former broker of UBS Financial Services Inc. and Further Lane Securities, L.P. for placing discretionary trades in 21 separate accounts. [read post]
2 Nov 2015, 6:31 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael McDonald (McDonald) has been the subject of at least 5 customer complaints. [read post]
30 Aug 2010, 12:47 pm
The Financial Industry Regulatory Authority has ordered Zions Direct Inc., Zions Bancorp's (ZION) brokerage unit, to pay $225,000 to settle securities fraud allegations that it failed to disclose conflicts of interest in online certificate-of-deposits auctions. [read post]
9 Feb 2010, 2:25 pm
At a closed-door meeting scheduled for February 10, the Financial Industry Regulatory Authority board of governors will preside over a closed-door meeting to assess allegations made by Amerivet Securities Inc. that certain FINRA executives, including chief executive Mary Schapiro, received excessive pay. [read post]
15 Mar 2016, 6:54 am
On February 5, 2016, a Financial Industry Regulatory Authority (“FINRA”) panel of arbitrators (the “Panel) rendered an Award (the “Award”) against the Royal Bank of Scotland’s United States securities divisions, RBS Securities, Inc. [read post]
29 Jun 2023, 7:46 pm
FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers The Financial Industry Regulatory Authority (FINRA) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to millions of customers over a period of five years. [read post]
1 Mar 2013, 4:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn’t like it so it sued Schwab. [read post]
11 Jun 2013, 9:04 am
And, finally, you got a nightmare of Wall Street regulatory and compliance problems, as this recent case shows.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Warren L. [read post]
28 May 2015, 3:24 am
A recent FINRA regulatory settlement involving a trip to the bathroom and a forgotten laptop perfectly illustrates this challenge.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Sterne, Agee & Leach, Inc.,… [read post]
12 Dec 2014, 7:12 am
Nonetheless, after you've read today's column, walk about your branch office and make sure everything is plugged in and turned on.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Commerce Brokerage Services, Inc. submitted… [read post]
8 Sep 2023, 12:51 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
18 Feb 2015, 7:17 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former Ameriprise Financial Services, Inc. [read post]
27 May 2020, 6:13 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Arora was terminated by his prior employer, Transamerica Financial Advisors, Inc. [read post]
