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30 Jan 2018, 7:53 am
(FINRA Case #2015046537501) Walter Joseph Marino (CRD #2121623, Dix Hills, New York) – An Offer of Settlement was issued in which Marino was suspended from association with any FINRA member in all capacities for one year. [read post]
30 Apr 2018, 10:49 am
Harris was barred from association with any FINRA member firm in any capacity. [read post]
7 Jun 2018, 8:21 am
(FINRA Case #2015046052701) Jodie Ann LaMarre (CRD #2127928, Sarasota, Florida)– An AWC (Accept, Waiver & Consent) was issued in which LaMarre was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one year. [read post]
8 Feb 2018, 7:56 am
(FINRA Case #2016050058801) Brad C. [read post]
16 Oct 2023, 10:34 am
One of the key principles that FINRA enforces is the prohibition of time and price discretion in customer accounts. [read post]
7 Dec 2022, 8:31 pm
Filing a FINRA Lawsuit May Help Investors Recoup Private REIT Losses Texas Investor Alleges Unsuitability and Other Broker Misconduct Against Calton and Associates Once again, Shepherd Smith Edwards and Kantas (investorlawyers.com) have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim on behalf of an investor who has suffered losses in Private REITs. [read post]
28 Aug 2018, 7:25 am
(FINRA Case #2015046971701) Gregory J. [read post]
22 Feb 2021, 7:44 am
FINRA Arbitration Claim Seeks $250K in Damages, Possibly Involving Energy 11 LP An investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim naming David Lerner Associate, Glenn Howard Werner. [read post]
1 Jun 2011, 7:10 am
According to FINRA, the firm raised the redemption limitation from 3% to 5%, but then lowered the payout on non-DRIP shares to 92% of the purchase price. [read post]
30 Apr 2018, 10:49 am
Harris was barred from association with any FINRA member firm in any capacity. [read post]
7 Feb 2011, 11:40 am
(FINRA 09-01769). [read post]
8 Mar 2018, 7:21 am
(FINRA Case #2016050260001) Summit Brokerage Services, Inc. [read post]
30 Aug 2018, 7:52 am
(FINRA Case #2016051931501) Michael Terry Swingle (CRD #723350, Dunedin, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Swingle was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 18 months. [read post]
7 Jun 2018, 8:21 am
(FINRA Case #2015046052701) Jodie Ann LaMarre (CRD #2127928, Sarasota, Florida)– An AWC (Accept, Waiver & Consent) was issued in which LaMarre was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one year. [read post]
19 Jul 2016, 1:33 pm
Per FINRA records, Mr. [read post]
17 Jan 2012, 1:10 pm
Ordinarily, the evidence presented in a FINRA arbitration is kept “confidential” and secret from the public. [read post]
30 Sep 2021, 10:05 am
Northstar Bermuda FINRA Arbitration Hearing to Take Place in Houston, Texas A couple who live in Mexico has filed a FINRA arbitration claim against Wells Fargo Clearing Services for the six-figure loss they sustained from investing in Northstar Financial Services (Bermuda). [read post]
14 Jul 2017, 12:43 pm
LPL Financial hit with $160,000 FINRA arbitration award. [read post]
8 Jun 2017, 2:26 pm
Gana LLP’s investment fraud attorneys are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) again broker Todd Douglas Ryman (Ryman). [read post]
26 May 2020, 4:29 pm
(CRD #7059, New York, New York) was fined $160,000 by FINRA for certain findings. [read post]
