Search for: "Financial Industry Regulatory Authority"
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27 Jan 2017, 10:59 am
In a regulatory action brought by the Financial Industry Regulatory Authority (FINRA), Ms. [read post]
26 Jan 2017, 9:43 am
On Jan. 18, 2017, the Financial Industry Regulatory Authority (FINRA) became the latest organization to weigh in on distributed ledger technology (DLT), also known as blockchain. [read post]
26 Jan 2017, 9:43 am
On Jan. 18, 2017, the Financial Industry Regulatory Authority (FINRA) became the latest organization to weigh in on distributed ledger technology (DLT), also known as blockchain. [read post]
26 Jan 2017, 8:11 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Howard Brous (Brous) currently associated with Wunderlich Securities, Inc. [read post]
26 Jan 2017, 4:00 am
A former sole practitioner, teacher, and marketing director in the financial services industry, she provides confidential practice management assistance to Oregon attorneys to reduce their risk of malpractice claims, enhance their enjoyment of practicing law, and improve their client relationships through clear communication and efficient delivery of legal services. [read post]
25 Jan 2017, 12:21 pm
Paesano’s publicly available BrokerCheck report, as maintained by the Financial Industry Regulatory Authority (FINRA), he has been the subject of 15 customer complaints, spanning his employment and registration at two broker-dealers, including Morgan Stanley from May 2011 to January 2017 and UBS Financial Services, Inc. from August 2005 to May 2011. [read post]
25 Jan 2017, 12:21 pm
Paesano’s publicly available BrokerCheck report, as maintained by the Financial Industry Regulatory Authority (FINRA), he has been the subject of 15 customer complaints, spanning his employment and registration at two broker-dealers, including Morgan Stanley from May 2011 to January 2017 and UBS Financial Services, Inc. from August 2005 to May 2011. [read post]
25 Jan 2017, 6:08 am
Our securities fraud attorneys are investigating a complaint filed by The Financial Industry Regulatory Authority (FINRA) against Brian Egan (Egan) formerly associated with Independent Financial Group LLC (Independent Financial) alleging that the broker failed to disclose his trading activity in client accounts away from the firm. [read post]
25 Jan 2017, 6:08 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Douglas Studer (Studer) formerly associated with Kovack Securities Inc. [read post]
25 Jan 2017, 5:08 am
I am not an opponent of regulation, however, and my early career on Wall Street included two stints as an industry regulatory lawyer with the American Stock Exchange and the National Association of Securities Dealers (now known as the Financial Industry Regulatory Authority "FINRA"). [read post]
23 Jan 2017, 1:47 pm
Financial Industry Regulatory Authority (FINRA) provides you with information from the CRD. [read post]
23 Jan 2017, 3:16 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudi... [read post]
21 Jan 2017, 11:42 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Perry De Leeuw (De Leeuw) – a/k/a Perry De Leeun, Perry Deleeuw. [read post]
21 Jan 2017, 11:21 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Adam Estes (Estes). [read post]
21 Jan 2017, 11:04 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against brokers Neal Moon (Moon) and Natalie Fogiel Moon (Fogiel). [read post]
21 Jan 2017, 10:23 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Dominic Tropiano (Tropiano) currently not associated with any broker-dealer. [read post]
21 Jan 2017, 7:00 am
The Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization for broker-dealers, brings about 1,500 enforcement actions a year. [read post]
20 Jan 2017, 10:18 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Donnie Ingram (Ingram) currently associated with Centaurus Financial, Inc. [read post]
20 Jan 2017, 10:16 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Martinsen (Martinsen) currently associated with Centaurus Financial, Inc. [read post]
20 Jan 2017, 7:38 am
Sterling, LLC, a Garden City, New York, broker-dealer, from November 2011 to October 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
