Search for: "Financial Industry Regulatory Authority"
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18 Jan 2012, 3:43 am
In a Financial Industry Regulatory Authority (? [read post]
11 Oct 2009, 11:38 pm
Citigroup is expected to be fined $600,000 by the Financial Industry Regulatory Authority over derivatives transactions that helped foreign clients avoid taxes on dividends, a source familiar with the matter said on Sunday. [read post]
11 Apr 2011, 9:20 am
The Financial Industry Regulatory Authority has fined UBS $2.5 million, and required it to pay $8.25 million in restitution over the sale of structured notes backed by Lehman Brothers. [read post]
25 Jun 2009, 4:13 pm
UBS filed an arbitration claim with the Financial Industry Regulatory Authority against a rival, Jefferies & Company, accusing it of orchestrating an "unlawful raid" on its lucrative global health care investment banking group. [read post]
8 Mar 2021, 7:43 am
SSEK Law Firm Is Representing Arkansas Retiree In $500K Customer Dispute The Financial Industry Regulatory Authority (FINRA) has barred ex-LPL Financial stockbroker, Rhett Douglas Bedwell after he refused to provide key documents into the self-regulatory organization’s probe into allegations that he invested funds from a client’s IRA in a Ponzi scheme. [read post]
15 Jul 2021, 7:47 am
FINRA Reportedly Suspends Douglas Szempruch after Allegations of Unsuitable & Unauthorized Trades According to public records from the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended financial advisor Douglas Szempruch (CRD # 4159318) of Melville, NY from the securities industry for one year. [read post]
21 Jul 2020, 9:49 am
Marshall Isaacson, Newbridge Securities, Barred from the Securities Industry FINRA Reportedly Bars Advisor Marshall Isaacson after Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA) on July 20, the regulator has reportedly barred financial advisor Marshall Isaacson from the securities industry. [read post]
2 Oct 2018, 10:28 am
Danial Khan (aka Atiq Khan) – Transamerica – Covina, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Danial Khan from the securities industry in a default decision on September 27, 2018. [read post]
15 Feb 2018, 2:31 pm
Moscoso According toThe Financial Industry Regulatory Authority (FINRA), the regulator has barred Jimmy O. [read post]
5 Mar 2010, 2:25 am
Source: Lexology, March 5, 2010 FINRA releases guidance on blogs and social networking sitesHolland & Knight LLP"Late last month, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-06 ("Notice") which provides guidance to securities firms and brokers regarding the use of social networking websites for business purposes". [read post]
29 Apr 2011, 12:58 pm
A Financial Industry Regulatory Authority arbitration panel says that Lincoln Financial Advisors Corporation must pay the Wright Family Trust $1.6M over securities claims related to investments that were made in a number of funds. [read post]
6 Nov 2018, 8:33 am
Financial Advisor David Colflesh – NYLife Securities – Tarkio, MO According to the Financial Industry Regulatory Authority (FINRA) on October 26, 2018, the regulator has suspended NYLife Securities financial advisor David Colflesh from associating with any FINRA member for 18 months. [read post]
6 Nov 2018, 8:33 am
Financial Advisor David Colflesh – NYLife Securities – Tarkio, MO According to the Financial Industry Regulatory Authority (FINRA) on October 26, 2018, the regulator has suspended NYLife Securities financial advisor David Colflesh from associating with any FINRA member for 18 months. [read post]
22 Dec 2016, 12:20 pm
For obvious reasons, the financial services industry stands out as one that regulatory agencies such as the CFPB, Department of Justice, Federal Trade Commission, and various other federal and state banking and finance authorities believe must be particularly prepared to defend against—and, if necessary, respond to—data breaches. [read post]
22 Dec 2016, 12:20 pm
For obvious reasons, the financial services industry stands out as one that regulatory agencies such as the CFPB, Department of Justice, Federal Trade Commission, and various other federal and state banking and finance authorities believe must be particularly prepared to defend against—and, if necessary, respond to—data breaches. [read post]
14 Oct 2022, 11:59 am
As a result, the Financial Industry Regulatory Authority’s (“FINRA”) Office of Financial Innovation (“OFI”) published a report addressing the results of a study regarding the state of cloud adoption within the securities industry. [read post]
4 Dec 2018, 8:29 am
– North Kansas City, MO According to the Financial Industry Regulatory Authority (FINRA) on November 30, 2018, the regulator has barred former financial advisor Noel Carino from associating with any FINRA member at any time. [read post]
20 Apr 2022, 10:39 am
On April 14, 2022, the Financial Industry Regulatory Authority (FINRA) permanently barred Mr. [read post]
19 Apr 2022, 7:21 am
Broker Philip Riposo, United Planners, Barred after Allegations According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Philip Anthony Riposo (CRD#: 400056) after he reportedly failed to provide information in an investigation. [read post]
23 Apr 2018, 8:15 am
FINRA Reportedly Bars Farid Morim, Former JP Morgan Financial Advisor According to the Financial Industry Regulatory Authority (FINRA) on February 23, the regulator has barred financial advisor Farid Morim (CRD #5023477, Los Angeles, California) from the securities industry. [read post]
