Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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5 Sep 2014, 6:20 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm optionsXpress, Inc. [read post]
19 May 2017, 9:08 am
Stock Market Loss securities attorneys are investigating allegations against Winston Wade Turner, a previously registered broker who has been barred by the Financial Industry Regulatory Authority. [read post]
4 Jun 2019, 7:56 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Lyle concern allegations over variable annuity sales practices. [read post]
16 Sep 2015, 6:04 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker James Madden (Madden) (Case No. 2014040336501) alleging that from March 2010, to February 2014, Madden exercised discretion in executing transactions in the accounts of l5 customers. [read post]
14 Jul 2016, 7:13 am
Turner had been employed and registered with Pruco Securities, LLC, a broker-dealer, from July 2013 to August 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Nov 2022, 9:37 am
FINRA Bars Ed Turley after Allegations of Unsuitable Trading, Misrepresentation According to public records posted on FINRA’s website today, the Financial Industry Regulatory Authority has reportedly barred Edward “Ed” Turley (CRD#: 1872294) from associating with any FINRA member at any time. [read post]
6 Jul 2018, 11:51 am
According to BrokerCheck records, Watts has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Watts for various violations of the securities laws including churning, otherwise known as excessive trading. [read post]
4 Feb 2021, 1:08 pm
According to the Financial Industry Regulatory Authority (FINRA) on February 2, the regulator has sanctioned HSBC Securities (USA) Inc. with a censure and fine of $650,000 in connection with alleged violations of rules concerning fingerprinting. [read post]
5 Mar 2018, 3:55 pm
(“SRT”) may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their SRT investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the financial advisor. [read post]
2 Aug 2021, 9:39 am
FINRA Reportedly Suspends Kevin McCallum for Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended former LPL Financial advisor Kevin McCallum (CRD#: 2222586) for one year and reportedly ordered him to pay a fine of $25,000.00, disgorgement of $14,231.61 and restitution of $1,222,092.29. [read post]
17 Jul 2017, 12:43 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints concerning alleged misrepresentation and an employment separation filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Elaine Marie Zito (Zito). [read post]
19 Sep 2018, 1:32 pm
According to BrokerCheck Records held by the Financial Industry Regulatory Authority (FINRA), Ford has been subject to eight customer disputes and three regulatory disputes. [read post]
9 Jan 2019, 11:31 am
Simanski was barred by the Financial Industry Regulatory Authority in 2016 after a client reported him to the self-regulatory authority and he was fired by the financial firm. [read post]
15 Mar 2015, 7:16 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against broker Chris Fulco (Fulco) concerning allegations that Fulco facilitated the sale of stock in US Coal Corporation, Inc. [read post]
12 Sep 2015, 12:56 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Patrick Teutonico (Teutonico) has been the subject of at least nine customer complaints and one regulatory action over the course of his career. [read post]
6 Apr 2015, 6:00 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Salvatore Gioe (Gioe) has been the subject of at least 11 customer complaints, one judgment and lien of over $197,000, and one regulatory action over the course of his career. [read post]
15 May 2018, 6:59 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), MSI Financial Services broker Kelly Barnett allegedly used discretion in the accounts of five customers without written authorization or acceptance of the accounts as discretionary. [read post]
11 Jun 2018, 9:49 am
According to the Financial Industry Regulatory Authority (FINRA) on June 8, the regulator has sanctioned an employee of CSSC Brokerage Services for failure to supervise. [read post]
19 Apr 2023, 11:50 am
Seattle Broker Michael Raineri Barred after Allegations of Conversion of Funds According to public documents, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has barred financial advisor Michael Raineri (CRD # 4817588) from the securities industry. [read post]
20 Apr 2017, 1:49 pm
Our law firm, Gana LLP, is investigating claims made by Financial Industry Regulatory Authority (FINRA) against broker James Vernon Regier (Regier), formerly associated with Summit Brokerage Services, Inc. [read post]
