Search for: "Financial Industry Regulatory Authority"
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14 Oct 2017, 12:12 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Capin has been accused by customers of unsuitable investment advice, misrepresentations, and excessive trading among other claims. [read post]
14 Oct 2017, 10:42 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jay Jordan (Jordan), in August 2017, was sanctioned by FINRA and had a permanent bar imposed in connections with allegations of unsuitable investments in leveraged exchanged traded funds (Non-Traditional ETFs) based on the investor’s investment objectives, financial situation, risk tolerance, experience, and investment needs. [read post]
13 Oct 2017, 12:46 pm
(“VGTel”) (OTC PINK: VGTL) may be able to recover their losses through initiating a securities arbitration proceeding with the Financial Industry Regulatory Authority (“FINRA”) if they were sold VGTel shares via misrepresentations or if a stockbroker or financial advisor made an unsuitable recommendation to purchase VGTel shares. [read post]
13 Oct 2017, 9:25 am
Mercury Securities hit with censure and fine In July 2017, the Financial Industry Regulatory Authority (“FINRA”) announced that Mercury Securities of San Rafael, CA submitted an acceptance, waiver and consent letter regarding its failure to effectively approve and document private securities transactions made by their representatives. [read post]
13 Oct 2017, 8:05 am
Steven John Meyer, Recovery of Investment Losses According to the Financial Industry Regulatory Authority, Steven John Meyer of Staten Island, New York, has been barred from the securities industry. [read post]
13 Oct 2017, 5:42 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Patrick Hudson (Hudson), in June 2015, was terminated by his then employer RBC Capital Markets (RBC). [read post]
13 Oct 2017, 5:42 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Doyle has been accused by customers of unsuitable investment advice and unauthorized trading among other claims. [read post]
13 Oct 2017, 5:34 am
In addition, the former Ponzi scheme employees also claimed their request for arbitration with the Receiver should have been granted based on their written employment contracts with the Stanford Group and the Financial Industry Regulatory Authority’s arbitration rules. [read post]
12 Oct 2017, 4:22 pm
The Secretary of Labor should also consider ways to promote AHP formation on the basis of common geography or industry. [read post]
12 Oct 2017, 3:25 pm
For example, with respect to a recent arbitration before the Financial Industry Regulatory Authority (“FINRA”), the arbitration panel ruled in favor of investors Troy and Elizabeth Benitone, awarding the claimants $569,000. [read post]
12 Oct 2017, 12:30 pm
FINRA is the Financial Industry Regulatory Authority. [read post]
12 Oct 2017, 11:54 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
12 Oct 2017, 7:15 am
In September 2017, the Financial Industry Regulatory Authority updated a previously published Notice related to FINRA Rules 12805 and 13805, which “establish procedures that arbitrators must follow before recommending expungement of customer dispute information related to arbitration cases from a broker’s Central Registration Depository (CRD®) record. [read post]
11 Oct 2017, 10:29 am
The Financial Industry Regulatory Authority (FINRA) has filed two recent enforcement actions that may signal a crackdown on variable annuity (VA) misconduct this year, continuing a 2016 trend of high fines related to VA sales in 2016. [read post]
10 Oct 2017, 8:04 am
The Bill follows an independent review led by Carol Brady in 2016, which recommended that regulatory responsibility for claims management companies (CMCs) be transferred from the Ministry of Justice’s Claims Management Regulation Unit to the Financial Conduct Authority (FCA) in order to effect a “step change” in the sector’s regulation. [read post]
10 Oct 2017, 7:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Clark Gardner (Gardner), in May 2014, was terminated by his then employer Cetera Advisors LLC (Cetera) subsequent to the initiation of customer arbitration claim alleging unsuitable investments. [read post]
10 Oct 2017, 7:41 am
Free Consultation The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
10 Oct 2017, 2:05 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
9 Oct 2017, 8:58 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
8 Oct 2017, 7:03 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Adam Veron (Veron), in February 2017, was terminated by his then employer Questar Capital Corporation (Questar). [read post]
