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27 Dec 2015, 8:19 am
The Federal Industry Regulatory Authority (FINRA) has noted in a related action (FINRA No. 2013035130101) against brokerage firm Cantone Research and its majority owner Anthony Cantone that Brogdon had twice been barred from the securities industry. [read post]
23 Dec 2015, 9:09 am
The Financial Industry Regulatory Authority (FINRA) has fined Cantor Fitzgerald & Co. $6 million for selling billions of unregistered microcap shares. [read post]
21 Dec 2015, 9:00 pm
Indeed, the legal authority for the Paris Agreement traces to its earlier predecessor, the Framework Convention on Climate Change, agreed to by George H.W. [read post]
21 Dec 2015, 12:17 pm
[vii] This is a welcome codification of a practice long accepted in the securities industry. [read post]
21 Dec 2015, 11:43 am
Attorney’s Office for the District of New Jersey, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority’s Office of Fraud Detection and Market Intelligence.SEC Press Release [read post]
20 Dec 2015, 1:56 pm
FINRA Fined Fidelity More than $1 Million for Failing to Protect Older InvestorsSecurities industry watchdog, the Financial Industry Regulatory Authority (FINRA) has announced that it has fined Fidelity $500,000 and demanded the brokerage pay restitution of $530,000 to nine Fidelity clients - eight of whom were senior investors - who were scammed by a fake broker.According to FINRA, Lisa Lewis posed as a Fidelity broker in order to obtain their… [read post]
19 Dec 2015, 12:35 pm
The Financial Industry Regulatory Authority announced Friday it has fined the brokerage arm of Fidelity Investments for failing to detect an imposter broker who stole $1 million from clients.http://www.fa-mag.com/news/finra-fines-fidelity-for-failing-to-detect-imposter-broker-24311.htmlRelated articlesFINRA's Ketchum: 3 Top Exam Priorities for 2016 FINRA Focus on Elder Fraud [read post]
17 Dec 2015, 1:59 pm
The Financial Industry Regulatory Authority (FINRA) recently awarded an elderly investor more than $1 million in an arbitration claim. [read post]
17 Dec 2015, 5:51 am
In addition, The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2014042951501) against Tingle. [read post]
16 Dec 2015, 7:44 am
According to the Times, in 2013, after Johnny Burris reported JP Morgan Chase’s sales tactics, customer complaints began appearing on his disciplinary records, which are available to the public and to prospective employers through the Financial Industry Regulatory Authority (“FINRA”). [read post]
14 Dec 2015, 6:38 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Sturniolo has been the subject of at least 8 customer complaints. [read post]
14 Dec 2015, 6:38 am
The securities lawyers of Gana LLP are investigating The Financial Industry Regulatory Authority’s (FINRA) investigation into broker Sperry Younger (Younger). [read post]
13 Dec 2015, 7:19 am
In addition, The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015046156301) against Slater. [read post]
12 Dec 2015, 9:34 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
11 Dec 2015, 4:10 pm
According to the Financial Industry Regulatory Authority’s (FINRA) website, FINRA recently filed a complaint against Cantone Research and its President, Anthony J. [read post]
11 Dec 2015, 2:23 pm
The Financial Industry Regulatory Authority (FINRA) has accused Comprehensive Asset Management and Servicing Inc (CAMS) of failing to meet its supervisory obligations in a numerous areas, including variable annuities. [read post]
10 Dec 2015, 1:13 pm
According to the Financial Industry Regulatory Authority’s (FINRA) website, FINRA recently filed a complaint against Cantone Research and its President, Anthony J. [read post]
10 Dec 2015, 11:49 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Tremblay has been the subject of at least 24 customer complaints. [read post]
10 Dec 2015, 11:48 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Monte has been the subject of at least 3 customer complaints and 3 judgment or liens. [read post]
10 Dec 2015, 2:00 am
District Court, concluding that the petitioners have standing, except that the bank lacks standing to challenge the constitutionality of the Financial Stability Oversight Council and the Government’s “orderly liquidation authority. [read post]
