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8 Aug 2023, 11:25 am
They must ensure they are complying with FINRA rules. [read post]
30 Nov 2016, 8:55 am
According to FINRA Broker Check Jose E. [read post]
19 May 2014, 4:42 am
Francisco first became registered with FINRA in 1988. [read post]
16 Apr 2018, 7:34 am
For FINRA’s full findings see FINRA case # 6628556. [read post]
13 Jun 2013, 7:06 am
According to a FINRA Order, FINRA recently suspended Wendy J. [read post]
26 Aug 2020, 4:00 am
Without admitting or denying FINRA’s findings, Jody Ethan Thompson was suspended from association with any FINRA member in all capacities for five months. [read post]
15 Apr 2014, 7:01 am
With FINRA making a concerted effort to keep and eye on brokers with a pattern of complaints and disclosures, it’s not surprise that FINRA is “very aware” of Meyers Associates, according to Michelle Ong, a spokeswoman for FINRA. [read post]
19 Jun 2018, 8:41 am
FINRA states in the AWC that Farrah’s attorney sent a letter to FINRA on Farrah’s behalf. [read post]
12 Mar 2018, 11:44 am
” During the period Kaplan controlled the account, the client was diagnosed with dementia, according to FINRA. [read post]
18 Sep 2014, 5:43 am
Zukowski first became registered with FINRA as a securities representative in 1989. [read post]
15 May 2024, 1:49 pm
FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial advisor. [read post]
3 Aug 2020, 4:00 am
According to the findings, FINRA began investigating Mr. [read post]
6 Feb 2017, 7:29 am
For FINRA’s full findings see FINRA Case #2012030564701. [read post]
28 Sep 2013, 6:08 am
Frazier first became registered with a FINRA member firm in March 1988. [read post]
14 May 2019, 11:23 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor Dean Grant from associating with any FINRA member at any time. [read post]
24 Sep 2019, 12:08 pm
For FINRA’s full findings see FINRA Case #2017056440501. [read post]
26 Apr 2018, 12:27 pm
FINRA Sanctions Western International Securities for Supervisory Issues According to the Financial Industry Regulatory Authority (FINRA), on February 28, 2018 an AWC was issued in which Western International Securities, Inc. [read post]
6 Feb 2017, 6:48 am
For FINRA’s full findings see FINRA Case #2012030564701 According to Antonio Costanzo’s FINRA BrokerCheck report, he was registered with Titus Rockefeller in Chesapeake, VA from 01/23/2013 – 03/12/2015. [read post]
6 Jul 2018, 11:47 am
FINRA suspended Solomon for 12 months and imposed a fine. [read post]
7 Jun 2021, 8:33 am
For this violation, Demetriou is reportedly barred and ordered to pay restitution of $337,700, according to FINRA. [read post]
