Search for: "Financial Industry Regulatory Authority"
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28 Apr 2017, 9:48 am
FINRA Bars Former Ohio Broker Ronald Broadstone from Securities Industry According to the Financial Industry Regulatory Authority, Ronald Broadstone has been permanently barred from the securities industry. [read post]
25 Jun 2015, 6:18 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Robert Tricarico (Tricarico) concerning allegations that Tricarico failed to respond to the regulator’s requests to provide information and documents concerning the an investigation into claims that Tricarico may have stolen money from clients. [read post]
25 Sep 2018, 7:35 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Worden Capital Management LLC (Worden Capital) broker Michael Rosalia (Rosalia) has been subject to six disclosed customer complaints, eight tax liens or judgements, and two financial disclosures including bankruptcy. [read post]
15 Nov 2018, 10:05 am
Charles Laverty – Broker Investigation According to the Financial Industry Regulatory Authority (FINRA), financial advisor Charles Laverty (CRD No. 4875386) has reportedly been barred from associating with any FINRA member at any time. [read post]
15 Nov 2018, 10:05 am
Charles Laverty – Broker Investigation According to the Financial Industry Regulatory Authority (FINRA), financial advisor Charles Laverty (CRD No. 4875386) has reportedly been barred from associating with any FINRA member at any time. [read post]
1 Feb 2012, 10:02 am
Back in October 2008, the Financial Industry Regulatory Authority (FINRA) launched a pilot program to gauge the interest investors might have in arbitrating their claims before a panel composed solely of public arbitrators, instead of two public arbitrators and one arbitrator from within the financial industry, as was normally the case. [read post]
10 Apr 2023, 8:26 am
LPL Advisor William Winchester Allegedly Borrowed Money from 3 Customers According to a Letter of Acceptance Waiver and Consent(AWC) on April 6, the Financial Industry Regulatory Authority (FINRA), the self-regulator who oversees brokers and brokerage firms, has reportedly barred William Winchester III (CRD #4404327) from the securities industry. [read post]
6 Dec 2016, 7:37 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against financial advisor Wayde Walker (Walker) currently registered with National Securities Corporation (National Securities), alleging unsuitable investments, fraud, breach of fiduciary duty, churning, and unauthorized trading among other claims. [read post]
10 Jul 2015, 11:45 am
On July 1, 2015, the Financial Industry Regulatory Authority (FINRA) accepted settlement offers from brokers Jonah Engler, Hector Perez, Jonathan Michael Sheklow and Joshua William Turney for their roles in selling fraudulent investments to 59 customers. [read post]
14 Apr 2021, 12:56 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Hugues Guirand. [read post]
5 Oct 2016, 9:30 pm
Commodity Futures Trading Commission (CFTC), state regulators, the Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB). [read post]
19 Aug 2009, 9:11 pm
According to the Financial Industry Regulatory Authority, the broker, working for American General Securities Inc., allegedly stole the $90,000 that a client had left to two of her nieces. [read post]
10 Jan 2012, 3:41 am
The stockbroker named in the Financial Industry Regulatory Authority? [read post]
24 Aug 2020, 7:48 am
The Northern District of Illinois recently denied a broker’s motion for a temporary restraining order and a preliminary injunction against the Financial Industry Regulatory Authority (FINRA) seeking to stop a scheduled remote arbitration hearing. [read post]
29 Apr 2009, 12:37 pm
State securities regulators continue to see problems of fraud and abuse in the growing life settlement industry and outlined for Congress the need for strong regulation of these financial products by appropriate regulatory authorities, NASAA President and Colorado Securities Commissioner... [read post]
27 May 2011, 8:45 am
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities (USA) LLC $4.5 million, and Merrill Lynch $3 million. [read post]
22 Oct 2010, 9:38 am
Bradley Bennett, cochair of the white-collar and investigations group at Baker Botts, has been named the new head of the enforcement unit for the Financial Industry Regulatory Authority. [read post]
16 Aug 2012, 5:40 am
A trader at Morgan Stanley Smith Barney blew past his $116 million trading limit to amass a $1.3 billion bet in 2009, Financial Industry Regulatory Authority records show, according to Bloomberg News. [read post]
4 May 2010, 11:57 am
NYSE Euronext (NYSE: NYX) and the Financial Industry Regulatory Authority (FINRA) today announced that they have agreed that FINRA will assume responsibility for performing the market surveillance and enforcement functions currently conducted by NYSE Regulation. [read post]
16 Aug 2010, 3:37 am
U.S. brokerages want to weigh in on how much the Financial Industry Regulatory Authority pays its senior executives and urged the watchdog to hire outsiders to investigate its ties to convicted money manager Bernard L. [read post]
