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13 Apr 2019, 12:39 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Dean Grant (Grant), formerly associated with M Holdings Securities, Inc. [read post]
28 Mar 2016, 6:26 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Jesse Griffin (Griffin). [read post]
19 Oct 2015, 8:00 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Joseph Miles (Miles) has been the subject of at least 3 customer complaints, 3 judgements or liens, and one bankruptcy discharge. [read post]
25 Apr 2019, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Michael Olinde (Olinde), currently associated with Capital Financial Services, Inc. [read post]
29 Apr 2015, 4:38 am
Smarsh, Inc. and Financial Industry Regulatory Authority/Department of Enforcement, Defendants (Complaint, DDC, 15-CV-00494, April 6, 2015), Plaintiffs North and Pompeo sought at least $3,000,000 in damages and relief against Defendants Smarsh and FINRA for spoliation, tampering and destruction of evidence and to prevent use of such spoliated and tampered evidence.NOTE: Defendants in a civil lawsuit are presumed innocent unless an... [read post]
6 Jul 2022, 12:33 pm
Texas Retiree Files Six-Figure FINRA Arbitration Claim Over Her Investment Losses An Austin, TX investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. [read post]
7 May 2010, 10:48 am
Inc., Olympic Securities LLC, and Alpine Securities Corp. have consented to pay $385,000 to settle Financial Industry Regulatory Authority that they sold collectively over 7.5 billion in “unregistered” penny stock in Universal Express Inc. shares and made about $8.4 million as a result. [read post]
6 Jun 2015, 10:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Persaud (Persaud) a/k/a Dwarka Persaud has been the subject of at least 5 customer complaints and one regulatory action over the course of his career. [read post]
5 Mar 2013, 11:42 am
On February 21, 2013, a Financial Industry Regulatory Authority (FINRA) disciplinary hearing panel permitted Charles Schwab & Company, Inc. to maintain its predispute arbitration provision in its customer agreement that includes a class action waiver (pdf). [read post]
16 Jul 2015, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against ARI Financial Services, Inc. [read post]
29 Sep 2017, 12:26 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Peter Butler (Butler), in January 2017, was terminated by his firm Ameriprise Financial Services, Inc. [read post]
16 May 2013, 5:03 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimant Process Engineering Services asserted breaches of contract and fiduciary duty, misrepresentation, and omission of fact in connection with its purchase of a private placement of Emerald Communications, Inc. [read post]
30 Jul 2013, 4:51 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, Claimant Edward Jones asserted: violation of the California Trade Secrets Act; breach of contract;breach of fiduciary duty; and unfair competitionin connection with Respondent John C. [read post]
5 Aug 2015, 8:42 am
The Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim under consideration today was filed in 2008. [read post]
8 Aug 2014, 6:01 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Robert Livingstone (Livingstone) concerning allegations that Livingstone failed to respond FINRA’s request for documents concerning claims that Livingstone deposited a customer’s money into a private company called Newland Strategies. [read post]
11 Jun 2018, 10:59 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Brian Travers (Travers), operating under the d/b/a Travers and Associates, Inc., in December 2017, was barred from the financial industry by FINRA concerning allegations that he engaged in private securities transactions. [read post]
18 Mar 2014, 6:01 am
The Financial Industry Regulatory Authority (FINRA) has brought a complaint against financial advisor Brian H. [read post]
1 Sep 2021, 11:47 am
FINRA Bars Thomas Stratton after Allegations of Misrepresentations According to the Financial Industry Regulatory Authority (FINRA) on August 12, 2021, the regulator has barred financial advisor Thomas Ward Stratton (CRD#: 1646899) from the securities industry after he allegedly failed to provide testimony in FINRA’s investigation. [read post]
8 Oct 2021, 10:45 am
FINRA Bars Broker Eric Hollifield after Allegations of Conversion of Funds According to the Financial Industry Regulatory Authority (FINRA) on October 7, 2021, the regulator has barred financial advisor Eric Hollifield (CRD#: 3091319) from associating with any FINRA member at any time. [read post]
17 Jan 2018, 6:21 am
The investment lawyers at Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Luigi Mancusi (Mancusi). [read post]
