Search for: "Financial Industry Regulatory Authority"
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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]
10 Nov 2017, 7:37 am
FINRA sanctions Ameritas Investment Corp. for Supervision Lapses According to reports, The Financial Industry Regulatory Authority (FINRA) has censured and fined Ameritas Investment Corp. [read post]
10 Nov 2017, 6:00 am
The Financial Industry Regulatory Authority (“FINRA”) has requested public comment regarding two proposed amendments to the organization’s arbitration rules. [read post]
10 Nov 2017, 5:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Sibilla has been accused by customers of unsuitable investments, misrepresentations, excessive trading, and misuse of margin among other claims. [read post]
10 Nov 2017, 5:55 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Houck has been accused by a customer of churning, negligence, excessive trading, and breach of fiduciary duty from August 2011 to January 2016 causing $150,000 in damages. [read post]
9 Nov 2017, 3:44 pm
This definitional change will affect certain otherwise-authorized transactions with the expanded group of such officials. #### __________DEPARTMENT OF COMMERCE Bureau of Industry and Security 15 CFR Parts 740 and 746[Doc [read post]
9 Nov 2017, 2:46 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dennis McMurray (McMurray), in August 2017, was terminated by his firm, Girard Securities, Inc. [read post]
9 Nov 2017, 2:45 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jonathan Freeze (Freeze), in August 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances surrounding Freeze’s alleged sale of variable annuities. [read post]
9 Nov 2017, 1:49 am
The fashion industry, mining industry and financial services industry have all been met with allegations ranging from human rights abuse to breach of climate change guidelines. [read post]
