Search for: "Financial Industry Regulatory Authority"
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7 Oct 2017, 11:32 am
According to BrokerCheck records, customers have filed about ten complaints with the Financial Industry Regulatory Authority’s (FINRA) against broker Regan Rohl (Rohl), a registered representative with Wells Fargo Advisors Financial Network, LLC (Wells Fargo) out of the firm’s Fargo, North Dakota office location. [read post]
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]
6 Oct 2017, 9:14 am
In January 2017, the Financial Industry Regulatory Authority (“FINRA”), as part of its ongoing efforts to ensure the integrity of financial markets and offer protection to investors, issued certain guidance through its ‘2017 Regulatory and Examination Priorities Letter. [read post]
6 Oct 2017, 6:00 am
These results have several policy implications on how regulatory agencies can maximize the value of their enforcements. [read post]
5 Oct 2017, 7:05 pm
The circular states that the establishment or activities of these firms should increase the range and quality of products and services for investors and benefit the Hong Kong financial services industry. [read post]
4 Oct 2017, 11:08 am
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer http://www.brokeandbroker.com/3608/finra-borrowing-elderly/Most Wall Street registered reps didn't quite hear the bit after the "till death do you part" portion of their wedding vows where they were also asked if they took the Financial Industry Regulatory Authority as their lawfully wedded self-regulator. [read post]
4 Oct 2017, 8:46 am
Investors in American Finance Trust and Lightstone Value Plus REIT V may have viable arbitration claims before the Financial Industry Regulatory Authority (FINRA) if a stockbroker or investment advisor made an unsuitable recommendation to the investor to purchase them, or made a misleading sales presentation in recommending them. [read post]
4 Oct 2017, 8:07 am
This is a test for RRBD Daily PostsFINRA Borrowing Settlement Involves Friendly 96 Year Old Customer http://www.brokeandbroker.com/3608/finra-borrowing-elderly/Most Wall Street registered reps didn't quite hear the bit after the "till death do you part" portion of their wedding vows where they were also asked if they took the Financial Industry Regulatory Authority as their lawfully wedded self-regulator. [read post]
3 Oct 2017, 8:05 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker James Dresselaers (Dresselaers) is under FINRA investigation and subject to one customer complaint. [read post]
2 Oct 2017, 9:22 am
Commodity Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA), is leading efforts in the U.S. to raise awareness about the importance of investor education and protection as part of a global effort. [read post]
2 Oct 2017, 6:44 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Minish “Joe” Hede (Hede), in April 2017, was terminated by his then employer Paulson Investment Company, LLC (Paulson Investment) subsequent to the initiation of customer arbitration claim alleging fraud, negligence and unjust enrichment and for failure to comply with internal investigation. [read post]
29 Sep 2017, 12:26 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Peter Butler (Butler), in January 2017, was terminated by his firm Ameriprise Financial Services, Inc. [read post]
29 Sep 2017, 11:37 am
The Securities and Exchange Commission today charged a former broker, his company, and his business partner in an alleged real estate investment scheme utilizing high-pressure sales tactics to pilfer $6 million from retirees and other investors while using the proceeds to fund the broker’s lavish lifestyle and start e-cigarette businesses.The SEC alleges that Leonard Vincent Lombardo, who once worked at Stratton Oakmont and has long since been barred from the brokerage industry by the… [read post]
29 Sep 2017, 8:05 am
” These words from the Financial Industry Regulatory Authority (FINRA) underscore one of the hidden risks associated with the recent hurricanes that ravaged the southern and southeastern United States. [read post]
28 Sep 2017, 9:30 pm
The Financial Industry Regulatory Authority (FINRA) issued Morgan Stanley $13 million in fines and restitution to affected customers for “failing to supervise its representatives’ short-term trades” of portfolios of securities with specific maturity dates. [read post]
28 Sep 2017, 1:27 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority and the Office of Montana State Auditor, Commissioner of Securities and Insurance. [read post]
28 Sep 2017, 9:58 am
[T]hey play a crucial role in managing their institution’s overall exposure to risk and promoting its overall financial success. [read post]
28 Sep 2017, 9:58 am
[T]hey play a crucial role in managing their institution’s overall exposure to risk and promoting its overall financial success. [read post]
28 Sep 2017, 4:52 am
During her interviews with a Financial Industry Regulatory Authority member firm, she is shocked to learn that she had been barred for failing to respond to a FINRA demand for information. [read post]
26 Sep 2017, 1:56 pm
A lawsuit brought by the payday lending industry, challenging Operation Chokepoint, is ongoing. [read post]
