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6 Oct 2017, 1:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor James Lyons (Lyons), has been subject to five customer complaints and one employment terminations for cause. [read post]
8 Sep 2015, 6:27 am
According to BrokerCheck, as maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
7 Mar 2016, 9:46 am
The securities fraud lawyers of Gana LLP are investigating a regulatory complaint (Disciplinary No. 1013038289101) filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Nixon (Nixon). [read post]
19 Nov 2020, 12:24 pm
FINRA Reportedly Suspends David “Todd” Phillips for Alleged Sales of Future Income Payments According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has reportedly suspended financial advisor David Todd Phillips and fined him $5,000 after allegations of private securities transactions. [read post]
6 May 2015, 6:47 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Vito Balsamo (Balsamo) concerning allegations that Balsamo engaged in private securities transactions – also known as “selling away” – in ownership interests in a limited liability company called V.W. [read post]
13 Sep 2016, 6:06 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker John Tinnelly (Tinnelly). [read post]
28 Mar 2018, 9:41 am
According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has reportedly barred former advisor Lawrence “Larry” Fawcett, Jr. [read post]
17 May 2017, 6:41 am
Our securities fraud attorneys are investigating customer complaints and a recent regulatory action filed with The Financial Industry Regulatory Authority (FINRA) against Paul Alexander (Alexander) formerly associated with Raymond James & Associates, Inc. [read post]
21 Jun 2017, 8:50 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Margaret Lech-Loubet (Lech-Loubet). [read post]
24 Apr 2018, 12:06 pm
FINRA Sanctions GWN Securities for Sales Fee Overcharges According to the Financial Industry Regulatory Authority (FINRA) on February 20th, 2018, the regulator sanctioned GWN Securities, Inc., a brokerage firm based in Palm Beach Gardens, Florida. [read post]
22 Dec 2018, 8:23 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Sean Kelly (Kelly), in October 2018, was accused by the Securities and Exchange Commission (SEC) of stealing more than $1 million from his clients. [read post]
16 Sep 2018, 4:40 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned Oppenheimer & Co. [read post]
4 Dec 2017, 1:49 pm
According to Trenchard’s BrokerCheck records, he was identified in a Financial Industry Regulatory Authority (FINRA) investigation on March 10, 2017. [read post]
13 Feb 2024, 10:47 am
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority (FINRA), the securities regulator has barred Brett Hartvigson (CRD#: 226308) from associating with any FINRA member in any capacity, as of February 4, 2024. [read post]
17 Nov 2015, 7:13 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Galinsky (Galinsky) has been the subject of at least 4 customer complaints, 2 regulatory actions, 2 employment separations for cause, and two criminal matters. [read post]
18 Sep 2015, 7:07 am
(“Cape”) was fined $125,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise its personnel, in effect allowing its brokers to recommend unsuitable investments and churn customer accounts. [read post]
1 Sep 2015, 7:35 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2014040633301) broker Tyler Powell (Powell) concerning allegations that Powell exercised discretion in a customer’s account without obtaining prior written authorization from the customer. [read post]
1 Jul 2015, 7:43 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Gardner (Gardner) has been the subject of at least nine customer complaints, one firm termination, and one regulatory action. [read post]
11 Mar 2021, 8:30 am
FINRA Reportedly Bars Broker Mayur Dalal in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Mayur T. [read post]
11 Mar 2021, 8:30 am
FINRA Reportedly Bars Broker Mayur Dalal in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Mayur T. [read post]
