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12 Sep 2022, 7:23 am
FINRA Rule 3110 (Failure to Supervise) requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with securities laws and regulations and FINRA rules. [read post]
4 Jun 2019, 11:14 am
Following the allegations, FINRA opened a probe into the matter. [read post]
23 Jun 2017, 10:48 am
For FINRA’s full findings see FINRA Case #2013038868601. [read post]
17 Jan 2012, 6:52 am
FINRA recently announced that Alternative Wealth Strategies was censured and fined $75,000, which includes the disgorgement of $40,000 in commissions, relating to FINRA’s findings that the firm negligently omitted material facts in connection with its sale of promissory notes. [read post]
20 May 2020, 1:06 pm
He has 5 customer complaints reportedly filed against, according to FINRA. [read post]
23 Jun 2017, 10:48 am
For FINRA’s full findings see FINRA Case #2013038868601. [read post]
31 Mar 2010, 11:43 am
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in March 2010: Gary Thomas Armitage of Healdsburg, California, formerly with EPlanning Securities was barred from association with any FINRA member in any capacity for engaging and participating in private securities transactions without notifying his employing firm. [read post]
19 Jul 2012, 11:45 am
As a member of FINRA, Mr. [read post]
31 Mar 2010, 12:43 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in March 2010: Gary Thomas Armitage of Healdsburg, California, formerly with EPlanning Securities was barred from association with any FINRA member in any capacity for engaging and participating in private securities transactions without notifying his employing firm. [read post]
18 Jul 2012, 7:43 am
The Award stems from a FINRA claim filed by Sisk in New York in February 2011. [read post]
17 Jul 2009, 6:35 am
FINRA says that it will collect information regarding sales practices, pricing, disclosures and customer complaints. [read post]
16 Mar 2018, 10:10 am
He is not currently registered as a broker, according to his FINRA BrokerCheck report online. [read post]
24 Jun 2017, 12:44 pm
For FINRA’s full findings see FINRA Case #2015046456601. [read post]
18 Nov 2015, 2:13 pm
For the full FINRA findings, see FINRA Case #2014043592101. [read post]
30 Sep 2016, 9:01 am
A FINRA arbitration panel has ordered Wells Fargo Advisors to pay a former client more than $262,000 for failing to promptly liquidate his brokerage account, according to a recent FINRA filing. [read post]
7 Sep 2012, 8:46 am
FINRA objected to Mr. [read post]
9 Mar 2017, 6:00 am
Smith Suspended from Securities Industry According to FINRA, a former Merrill Lynch broker, Adam C. [read post]
31 Dec 2020, 12:57 pm
FINRA sanctions B. [read post]
24 Jun 2017, 12:44 pm
For FINRA’s full findings see FINRA Case #2015046456601. [read post]
8 Oct 2019, 11:47 am
We represent investors in FINRA arbitration claims in all 50 states, including Arizona. [read post]
