Search for: "Financial Industry Regulatory Authority"
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23 Oct 2017, 4:15 am
Of course, try to do something nice and it inevitably attracts those among us who see an opportunity to make a few bucks -- as a recent FINRA regulatory settlement demonstrates.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjud... [read post]
23 Oct 2017, 4:15 am
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2016, Claimant Koontz asserted one cause of action: "misrepresentations. [read post]
20 Oct 2017, 4:30 am
State Regulations The New York Department of Financial Services (NYDFS) set forth mandatory cybersecurity standards for the financial industry that went into effect on March 1. [read post]
19 Oct 2017, 9:30 pm
The New York State Department of Financial Services adopted two regulations to protect New Yorkers that would “crack down on unscrupulous practices in the title insurance industry. [read post]
18 Oct 2017, 1:33 pm
The division oversees the major securities market participants and infrastructure including, among others, broker-dealers, self-regulatory organizations (including stock exchanges, the Financial Industry Regulatory Authority, the Municipal Securities Rulemaking Board, and clearing agencies), alternative trading systems, and transfer agents. [read post]
17 Oct 2017, 8:42 am
In today's blog, Bill takes on the Financial Industry Regulatory Authority for what he views as an idiotic FINRA Arbitration Decision involving the dispute of two public customers against a member f... [read post]
16 Oct 2017, 4:12 pm
Recently, the Financial Industry Regulatory Authority (“FINRA”) has devoted significant regulatory oversight to one financial product that is rife with potential for abuse: the variable annuity (“VA”). [read post]
16 Oct 2017, 11:17 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Scott Newsholme (Newsholme), in September 2017, was accused by the Securities and Exchange Commission (SEC) of stealing more than $1 million from his clients. [read post]
16 Oct 2017, 11:17 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor David Zier (Zier), in October 2014, was terminated by his then employer City National Securities, Inc. [read post]
16 Oct 2017, 10:54 am
FINRA Sanctions Wells Fargo for Risky ETPs According to reports on Monday, the Financial Industry Regulatory Authority (FINRA) ordered Wells Fargo & Co. to return $3.4 million to customers after selling them inappropriate investment products. [read post]
15 Oct 2017, 11:20 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Glaser (Glaser), in September 2017, was accused by FINRA of failing to cooperate in an investigation into the circumstances surrounding Glaser’s termination by National Panning Corporation (National Planning). [read post]
15 Oct 2017, 10:55 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Bruce Barber (Barber), in September 2017, was accused by FINRA of engaging in an undisclosed outside business activity by serving as an advisor to the Board of Directors for ABC, LLC (ABC) and being compensated by the company with warrants. [read post]
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]
