Search for: "Financial Industry Regulatory Authority"
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22 Jul 2016, 8:58 am
A quick search on the SEC’s investor.gov website would have shown that neither Brennan nor Dyer has been registered to sell investments as a broker since the late 1990s as well as their disciplinary problems with the Financial Industry Regulatory Authority and state regulators. [read post]
22 Jul 2016, 8:40 am
Malecki frequently meets with the Securities Exchange Commission (SEC), Department of Justice (DOJ) and Financial Industry Regulatory Authority (FINRA) to discuss issues related to investor protection, supervision for elderly investors, and suitability. [read post]
21 Jul 2016, 2:17 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
20 Jul 2016, 10:18 am
The Financial Industry Regulatory Authority (FINRA) announced on July 19, 2016 in a News Release that it had fined Prudential Annuities Distributors, Inc. $950,000 for “failing to detect and prevent a scheme that resulted in the theft of approximately $1.3 million from an 89-year-old customer’s variable annuity account. [read post]
19 Jul 2016, 1:33 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
19 Jul 2016, 8:53 am
Think carefully before you open your mouth or sign your name at the bottom of a certification.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 adjudication of any issue, Joseph B. [read post]
19 Jul 2016, 8:40 am
It's a white-knuckler that goes down to the wire.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2015, Claimants asserted breach of employment contract, wrongful termination, intentional interference with a contract inducing breach, fraud, constructive trust, and unjust enrichment. [read post]
19 Jul 2016, 6:46 am
Second, we are confronted with the puzzling anomaly of how and why the customer complaint and Award appear on the BrokerCheck files of the FINRA member firm but not on the BrokerCheck files of the registered representative.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2014,... [read post]
18 Jul 2016, 1:53 pm
This month, Malecki Law attorneys were awarded full net out-of-pocket damages of $142,168.00 by a Financial Industry Regulatory Authority (FINRA) Arbitration Panel. [read post]
18 Jul 2016, 1:49 pm
Nontraded REITs (Real Estate Investment Trusts) have long been an area of concern for securities regulators like the Financial Industry Regulatory Authority (FINRA) because they are generally illiquid investments that pay high upfront commissions to the brokers who sell them. [read post]
15 Jul 2016, 2:31 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
14 Jul 2016, 9:30 pm
In an effort to reduce the regulatory burden on the maritime shipping industry, the U.S. [read post]
14 Jul 2016, 9:10 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has reportedly ordered a wealth management adviser to pay a couple $331,000 in compensatory damages for making unsuitable, high-risk investments. [read post]
14 Jul 2016, 7:13 am
Turner had been employed and registered with Pruco Securities, LLC, a broker-dealer, from July 2013 to August 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
12 Jul 2016, 7:27 am
Delfino had been employed and registered with Ameriprise Financial Services, Inc., a broker-dealer, from October 2009 to November 2015, according to her publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority. [read post]
12 Jul 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains a comprehensive archive of frequently asked questions regarding a registered person’s reporting obligations with respect to mandated Forms U4 and U5. [read post]
11 Jul 2016, 2:17 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
10 Jul 2016, 3:27 pm
Professor Berman writes that he is “not aware of any tobacco industry comments that were supportive of FDA regulation of e-cigarettes. [read post]
9 Jul 2016, 6:50 am
At the time, it seemed like a new low for the industry. [read post]
8 Jul 2016, 10:16 am
We are pleased to announce that after a six-day long arbitration, our client was awarded his full net out-of-pocket damages of $142,168.00 by a Financial Industry Regulatory Authority (FINRA) Arbitration Panel. [read post]
