Search for: "Financial Industry Regulatory Authority"
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19 Feb 2019, 8:23 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has censured and fined Kestra Financial $225,000 and is required to pay $1.9 million in restitution for allegedly overcharging more than 3,200 mutual fund investors over a nine-year period. [read post]
30 Sep 2010, 2:03 pm
Financial Industry Regulatory Authority (FINRA) announced that it will file a rule proposal with the Securities and Exchange Commission next month that will allow investors to opt for all-public panels in arbitration claims. [read post]
8 Aug 2018, 12:10 pm
Flynn (Jim Flynn) – Voya Financial Advisors – Securities Fraud Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended financial advisor Jim Flynn as of June 25, 2018, from associating with any FINRA member firm in any capacity. [read post]
28 Dec 2018, 7:15 am
http://www.finra.org/sites/default/files/fda_documents/2016051302001%20Megan%20Nina%20Weakland%20CRD%204678321%20AWC%20va.pdfFor 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 adjudication of any issue, Megan Nina Weakland submitted a Letter of Acceptance, Waiver and Consent… [read post]
1 Sep 2020, 9:39 am
Narinder Singh, Farmer’s Financial Solutions, Sacramento, CA FINRA Bars Narinder Singh after Allegations of Fraudulent Investment Recommendations According to public records on August 28, 2020, the Financial Industry Regulatory Authority (FINRA) has barred former financial advisor Narinder Kaur Singh (also known as Narinder Dutt) from associating with any FINRA member at any time after she reportedly refused to provide information in its… [read post]
6 May 2015, 11:32 am
Senior-aged investors continue to dominate securities related news coming out of the Financial Industry Regulatory Authority (FINRA). [read post]
26 Apr 2010, 5:32 am
Congress well and truly looks like it is about to pass financial regulatory reform, and you can follow the travails of the legislative process two ways, it seems to me. [read post]
10 Nov 2009, 4:02 am
Barney Frank, chairman of the House Financial Services Committee, said he will defeat a controversial measure that would expand the Financial Industry Regulatory Authority's power over financial advisers. [read post]
30 Oct 2013, 9:00 pm
Maarten as financial supervisory authority on the BES islands. [read post]
28 May 2021, 8:24 am
Colombian Claimants Allege Negligence, Misrepresentations, and Failure to Supervise Two investors from Bogota, Colombia are pursuing a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services for the losses they suffered in Northstar Financial Services (Bermuda). [read post]
1 Jun 2011, 12:48 pm
While financial advisers are selling the daylights out of high-yield structured products to investors who complain about low interest rates, the Financial Industry Regulatory Authority (FINRA) is warning them of the perils of such securities, according to Bruce Kelly [read post]
5 Dec 2008, 5:55 pm
Recently, the Securities and Exchange Commission (SEC) approved rule changes that the Financial Industry Regulatory Authority (FINRA) had proposed to better protect customers' and regulators' ability to access complaint records of financial advisers. [read post]
17 Apr 2014, 11:15 am
An arbitral award in March 2014 by Financial Industry Regulatory Authority (FINRA) ordered Signator Investors, Inc., a firm aligned with the John Hancock Financial Network, to pay an older couple and their elderly mother's estate $1.2 million for losses arising... [read post]
30 Nov 2015, 6:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Aabel has been the subject of at least 10 customer complaints, one regulatory event, three judgment or liens, and three financial disclosures. [read post]
7 Oct 2015, 7:55 am
Gill is employed and registered with Chelsea Financial Services, a broker-dealer with an office in Tinton Falls, New Jersey, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
27 Dec 2011, 9:59 am
The Financial Industry Regulatory Authority (FINRA) has fined Credit Suisse Securities $1.75 Million for violation of Regulation SHO and its failure to adequately supervise its brokers regarding short sale transactions. [read post]
12 Nov 2020, 12:18 pm
FINRA Reportedly Bars Jeffrey Broten after Allegations of Unsuitable Investments & Unauthorized Trades According to the Financial Industry Regulatory Authority (FINRA) on October 14, 2020, the regulator has reportedly barred former financial advisor Jeffrey Broton from associating with any FINRA member at any time. [read post]
24 Sep 2018, 6:24 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Frank Zito (Zito), formerly associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch) in Ridgeland, Mississippi and currently registered with Coker & Palmer was terminated concerning allegations that Zito engaged in conduct such as failure to adhere to firm standards regarding selling away and failure to fully disclose participation… [read post]
25 Sep 2020, 12:49 pm
Here's a look behind eight years of alleged conspiracy (Bloomberg by Tom Schoenberg)Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests (SEC Filing)Financial Planner Sentenced To… [read post]
25 Mar 2009, 9:03 am
The Financial Industry Regulatory Authority (FINRA) has issued an alert warning investors to look out for several red flags of fraud. [read post]
