Search for: "Financial Industry Regulatory Authority"
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15 Nov 2017, 6:20 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Rodriguez has been accused by customers of unsuitable investments among other claims. [read post]
15 Nov 2017, 12:54 pm
If your financial advisor has recommended an unsuitable investment in a Master Limited Partnership (or “MLP”) without a reasonable basis for the recommendation, you may be able to recover losses through arbitration before the Financial Industry Regulatory Authority (“FINRA”). [read post]
15 Nov 2017, 12:00 pm
Last year, I used some of my time as a guest blogger to draw some attention to the persons appointed as public governors at the Financial Industry Regulatory Authority (FINRA). [read post]
15 Nov 2017, 6:48 am
According to the Financial Industry Regulatory Authority, Cetera Investment Services LLC (CRD #15340, St. [read post]
15 Nov 2017, 5:04 am
However, in 2009, the Financial Industry Regulatory Authority (“FINRA”) published Regulatory Notice 09-31 informing members that nontraditional ETFs were “’highly complex financial instruments’ and unsuitable for retail investors who hold them for more than one trading session, particularly in volatile markets. [read post]
14 Nov 2017, 9:30 pm
Austin contends that one financial market that requires protection from pump-and-dump schemes is the United States’ Over-the-Counter (OTC) Market, which is operated by the Financial Industry Regulatory Authority (FINRA). [read post]
14 Nov 2017, 12:46 pm
A recent Financial Industry Regulatory Authority regulatory settlement chall... [read post]
14 Nov 2017, 12:21 pm
Correnti Reportedly Failed to Provide Information for FINRA’s Investigation According to the Financial Industry Regulatory Authority, John P. [read post]
14 Nov 2017, 8:33 am
The weekly events highlight the benefits of Apprenticeship in preparing a highly-skilled workforce to meet the talent needs of employers across diverse industries. [read post]
14 Nov 2017, 8:18 am
Veron for Private Securities Transactions According to the Financial Industry Regulatory Authority, Adam K. [read post]
14 Nov 2017, 8:18 am
In another example, in May of 2016, the Financial Industry Regulatory Authority (FINRA) suspended Frank John Capuano (CRD#: 844182), a registered broker from western Massachusetts, after he was alleged to have improperly sold Woodbridge Wealth notes to investors while employed as a registered representative of Royal Alliance Associates in Holyoke, Massachusetts. [read post]
14 Nov 2017, 3:27 am
I welcome guest post submissions from responsible authors on topics of interest to this site’s readers. [read post]
13 Nov 2017, 1:24 pm
PA Financial Advisor Jon Freeze reportedly barred by FINRA over Variable Annuities According to the Financial Industry Regulatory Authority, Jon Freeze (Jonathan Douglas Freeze, CRD #2642023, Canonsburg, Pennsylvania) was issued an AWC on August 14, 2017, in which Freeze was barred from association with any FINRA member in all capacities. [read post]
13 Nov 2017, 1:14 pm
FINRA Fines and Censures Morgan Stanley Smith Barney over Supervisory Issues According to the Financial Industry Regulatory Authority, Morgan Stanley Smith Barney LLC (CRD #149777, Purchase, New York) was issued an AWC on August 22, 2017 in which the firm was censured, fined $500,000, and ordered to pay $103,219.25, plus interest, in restitution to investors. [read post]
13 Nov 2017, 7:51 am
FINRA reportedly bars George Dahl after failure to provide testimony According to the Financial Industry Regulatory Authority in August 2017, George Dahl (CRD #59820, Laguna Woods, California) FINRA issued an AWC in which Dahl was barred from association with any FINRA member in all capacities. [read post]
13 Nov 2017, 3:59 am
A recent Financial Industry Regulatory Authority regulatory settlement challenges us on many levels. [read post]
12 Nov 2017, 9:24 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Keane has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks, master limited partnerships (MLPs), and business development companies. [read post]
11 Nov 2017, 9:05 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Leon Rehak (Rehak) has been subject to two customer complaints. [read post]
11 Nov 2017, 9:04 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Frank Giacalone (Giacalone) has been subject to two customer complaints. [read post]
10 Nov 2017, 12:58 pm
As part of its continued variable annuity (“VA”) abuse crackdown, the Financial Industry Regulatory Authority (“FINRA”) recently censured and fined member firm Ameritas Investment Corp. [read post]
