Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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3 Feb 2016, 10:41 am
The securities lawyers of Gana LLP are investigating the termination by The Financial Industry Regulatory Authority (FINRA) of broker Ricardo Fancois (Fancois). [read post]
18 Feb 2016, 5:51 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker William Carlton (Carlton). [read post]
29 May 2020, 11:28 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Santiago’s customer complaints alleges that Santiago recommended unsuitable investments and account mismanagement among other allegations of misconduct relating to the handling of their accounts. [read post]
24 Sep 2017, 7:33 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor William Wyman (Wyman), in January 2017, was barred by FINRA over his failure to respond to FINRA inquiries. [read post]
4 Jan 2019, 8:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Ralston concern allegations of unsuitable investments. [read post]
16 Jul 2018, 7:37 am
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Charles Lundell (Lundell). [read post]
8 Nov 2017, 4:47 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Parr (Parr), in October 2017, was under investigation by FINRA based on a preliminary determination that Parr’s conduct allegedly violated FINRA Rules 3240, 3280, and 2010. [read post]
14 Oct 2015, 7:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Daren Dorval (Dorval) has been the subject of at least 6 customer complaints, 1 regulatory matter, and one criminal matter over the course of his career. [read post]
7 Mar 2011, 8:27 am
The Northern District of Texas has issued a Temporary Restraining Order enjoining multiple arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). [read post]
30 Nov 2018, 4:42 am
Churning Losses Recovery According to the Financial Industry Regulatory Authority Inc. [read post]
25 May 2011, 8:05 am
., told the Financial Industry Regulatory Authority (FINRA) in March of its plans to terminate its broker/dealer license. [read post]
23 Sep 2016, 10:50 am
Yesterday, San Antonio-based broker-dealer Investment Professionals Inc. has been censured and fined $170,000 by the Financial Industry Regulatory Authority, for more on the story, click here. [read post]
19 May 2022, 11:13 am
Fortunately, the Financial Industry Regulatory Authority (FINRA) provides for an arbitration forum for investors to resolve disputes if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment. [read post]
23 Aug 2010, 10:11 am
Johnson of the Superior Court of Fulton County, Georgia, confirmed and upheld a December 2009 award issued by an Atlanta-based Financial Industry Regulatory Authority (FINRA) arbitration panel ordering SunTrust Robinson Humphrey, Inc. [read post]
5 Apr 2012, 6:42 am
A three-person Financial Industry Regulatory Authority Inc. panel recently awarded two former Merrill Lynch financial advisors over $10 million ($5 million in compensatory damages and $5 million in punitive damages) over deferred compensation benefits allegedly owed to the advisors. [read post]
29 Jun 2016, 11:29 am
The Financial Industry Regulatory Authority Inc. recently filed a complaint against a former broker for telling his clients to invest in risky exchanged-traded funds as a hedge against impending financial and economic doom. [read post]
13 Oct 2017, 12:46 pm
(“VGTel”) (OTC PINK: VGTL) may be able to recover their losses through initiating a securities arbitration proceeding with the Financial Industry Regulatory Authority (“FINRA”) if they were sold VGTel shares via misrepresentations or if a stockbroker or financial advisor made an unsuitable recommendation to purchase VGTel shares. [read post]
31 May 2017, 10:28 am
The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker James Paul Kolf (Kolf). [read post]
6 Dec 2018, 10:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Pepe concern allegations of unsuitable investments. [read post]
8 Mar 2016, 6:52 pm
The White Law Group filed the claim with the Financial Industry Regulatory Authority Inc., alleging common law fraud, negligence and breach of fiduciary, according to a statement released Monday. [read post]
