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29 Dec 2017, 2:55 am
This is an update of Stockbrokers Sue Customer Over Unpaid Margin Debit" (BrokeAndBroker.com Blog, July 16, 2015) 2015 Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2014, three associated persons alleged that public customer Wijk had failed to repay a debit balance that purportedly arose after he had traded an unspecified stock on margin and, thereafter, failed to repay the… [read post]
28 Dec 2017, 11:00 am
With a new year upon us, the Financial Industry Regulatory Authority reminds the investing public to do its homework concerning Class A, B, and C mutual fund shares. [read post]
28 Dec 2017, 9:03 am
JP Morgan Reportedly Violated Customer Protection Rule According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has fined J.P. [read post]
28 Dec 2017, 7:47 am
Last week, Merrill Lynch was fined a total of $26 million by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) alleging failures in reporting “suspicious” transactions, according to documentation obtained by Reuters. [read post]
27 Dec 2017, 12:50 pm
Tinder According to the Financial Industry Regulatory Authority, the regulator has permanently barred Jed E. [read post]
27 Dec 2017, 12:32 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $462,000 to former clients of Charles Fackrell, a former LPL broker serving prison time currently. [read post]
27 Dec 2017, 11:17 am
According to reports, in February 2016, Financial Industry Regulatory Authority barred Chicago broker, George Johnson, for allegedly manipulating the stock price of IceWEB Inc. for personal gain. [read post]
27 Dec 2017, 9:43 am
The Financial Industry Regulatory Authority (FINRA) recently fined J.P. [read post]
27 Dec 2017, 7:55 am
According to the Financial Industry Regulatory Authority (FINRA) website, BrokerCheck, there is no broker-dealer named Woodbridge Wealth. [read post]
27 Dec 2017, 7:41 am
. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-sanctions-citigroup-global-markets-115-million-inaccurate-research-ratingsThe Financial Industry Regulatory Authority fined Citigroup Global Markets Inc. [read post]
27 Dec 2017, 7:37 am
The Financial Industry Regulatory Authority (FINRA) Rule 2020 also prohibits members from effecting “any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance. [read post]
27 Dec 2017, 7:37 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in July 2017 a customer filed a complaint alleging that Larson Financial made unsuitable recommendations and material omissions in the sale of a variable universal life (VUL) policy that was purchased in 2013. [read post]
27 Dec 2017, 7:36 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against broker James Cox (Cox). [read post]
27 Dec 2017, 7:35 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in August 2017 a customer filed a complaint alleging that Schneider made unsuitable recommendations, over-concentration of accounts, and failed to supervise. [read post]
27 Dec 2017, 7:25 am
FINRA Sanctions Raymond James for Supervisory Issues According to the Financial Industry Regulatory Authority, the regulator has fined Raymond James Financial Services $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing e-mail communications. [read post]
26 Dec 2017, 9:30 pm
The Regulatory Review is pleased to highlight the top fifty pieces of 2017 authored by The Regulatory Review staff contributors. [read post]
26 Dec 2017, 3:26 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2017, Claimant Sabota sought an expungement from his Central Registration Depository record (“CRD”) of three customer complaints involving the:transfer of an account between brokerage firms, selection of sub-accounts in a variable annuity, and selling away involving an employee under Claimant’s… [read post]
26 Dec 2017, 3:09 am
Morgan Securities LLC $2.8 Million for Customer Protection Rule Violations and Supervisory Failures (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-fines-jp-morgan-securities-llc-28-million-customer-protection-rule-violations The Financial Industry Regulatory Authority fined J.P. [read post]
25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
