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17 Jan 2023, 9:31 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
11 Dec 2019, 12:40 pm
According to the Financial Industry Regulatory Authority (FINRA) on December 10, Gerald T. [read post]
30 Jun 2014, 6:07 am
FINRA also found that James Dawson failed to enforce its written supervisory procedures that required electronic correspondence be reviewed on a daily basis. [read post]
8 Jan 2021, 7:34 am
FINRA staff requested that Shafer appear for on-the-record testimony and he apparently refused the request in violation of FINRA rules. [read post]
14 Apr 2021, 1:04 pm
FINRA reportedly issued a request for information and documents and Dellaporta reportedly refused, in violation of FINRA Rules 8210 and 2010. [read post]
8 May 2019, 10:28 am
If it can be determined that the advisor violated FINRA rules and the employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
22 Mar 2021, 10:16 am
For FINRA’s full findings see FINRA case number #2020068439201. [read post]
5 Dec 2018, 10:53 am
David Fagenson Accused by FINRA of Churning Client Accounts According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended former UBS broker, David Fagenson, for alleged excessive trading in elderly client accounts. [read post]
8 Aug 2018, 12:10 pm
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
20 Nov 2018, 11:35 am
FINRA Arbitration Claim filed against Laidlaw & Co. [read post]
2 Oct 2018, 10:28 am
The complaint alleges that subsequently, Khan completely failed to respond to two additional requests for documents sent to him by FINRA. [read post]
30 Mar 2021, 1:02 pm
This matter involves inverse floaters and according to FINRA, inverse floaters are only suitable for sophisticated investors with a high-risk profile. [read post]
9 May 2019, 9:33 am
If it can be determined that the financial advisor violated FINRA rules and the employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
4 Jun 2020, 10:31 am
Bank of America to pay $7.23 million in Restitution to Clients FINRA Sanctions Bank of America for Overcharging Customers on Mutual Funds According to the Financial Industry Regulatory Authority (FINRA) this week, Bank of America Corp. agreed to pay $7.23 million in restitution and interest to settle the regulator’s allegations that it overcharged customers on mutual funds. [read post]
20 Sep 2019, 10:05 am
For FINRA’s full findings, see FINRA Case #2015047824201. [read post]
26 Sep 2016, 7:23 am
In the U.S., contact the SEC or FINRA. [read post]
28 Jan 2010, 8:00 am
Bayer Regional Director, Northeast Region, FINRA Dispute Resolution Rachel D. [read post]
13 Jan 2014, 6:56 am
(Ziegler) was recently hit with a $311,000 judgment in a decision made by a FINRA arbitration panel. [read post]
5 Jul 2023, 12:52 pm
Hightower Securities reportedly violated FINRA Rule 2010. [read post]
23 May 2012, 7:14 pm
FINRA asserted that Goldman’s practices violated NASD Rules 3010 and 2110 and FINRA Rule 2010. [read post]
