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2 Feb 2023, 6:56 pm
Our Skilled Annuity Fraud Lawyers Represent Northstar Financial Services (Bermuda) Investors Mexico Investors File FINRA Lawsuit Accusing Truist Investment Services of Overconcentration Once again, Shepherd Smith Edwards and Kantas (investorlawyers.com) have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services over losses suffered by investors in Northstar Financial Services (Bermuda) products. [read post]
25 Jun 2017, 8:54 am
FINRA barred Nick Shermeta over his role in penny stock transactions. [read post]
15 Jan 2020, 11:33 am
FINRA Orders Oppenheimer To Pay $3.8M Oppenheimer & Co. [read post]
31 May 2018, 11:07 am
Larry Wolfe is barred from association with any FINRA member in any capacity. [read post]
25 Jun 2017, 12:07 pm
Chris Cervino was barred by FINRA and the SEC over VGTL transactions Chris Cervino, a registered representative from Franklin Lakes, New Jersey, formerly with Primary Capital, Cor Clearing and Wilson-Davis Co. was barred from FINRA membership as a result of SEC proceedings into his role in manipulating the market for VGTL. [read post]
30 Aug 2017, 5:29 am
(FINRA Case #2014041539301) James Davis Trent (CRD #2730687, Lexington, South Carolina) – An Offer of Settlement was issued in which Trent was suspended from association with any FINRA member in all capacities for six months. [read post]
2 Jun 2011, 7:10 am
That allegation comes not from Eccleston Law Offices but instead from the enforcement complaint filed by securities regulator FINRA. [read post]
21 Oct 2020, 10:40 am
As part of the AWC, Morgan Stanley agreed to pay a $175,000 fine and was censured by FINRA. [read post]
27 Jul 2018, 7:26 am
Samuel Haddix (CRD #4427350) is barred from association with any FINRA member in any capacity. [read post]
29 Jun 2023, 7:46 pm
FINRA Fines TD Ameritrade $500K for Making Omissions To Millions of Customers The Financial Industry Regulatory Authority (FINRA) announced that it has fined TD Ameritrade Clearing Inc. $500K for its failure to fully disclose information about callable securities (including preferred securities and exchange-traded notes) to millions of customers over a period of five years. [read post]
1 Jun 2023, 9:41 pm
When A Brokerage Firm Violates Investors’ Best Interests Through Alleged Misconduct FINRA Expels SW Financial For Allegedly Making Misrepresentations and Omissions The Financial Industry Regulatory Authority (FINRA) has expelled SW Financial following multiple alleged violations related to Regulation Best Interest (Reg BI). [read post]
2 Mar 2018, 1:59 pm
FINRA recently brought a regulatory complaint against Lawrence regarding allegations that he borrowed $39,000 from an elderly customer, in violation of FINRA rules and he has failed to repay the loan. [read post]
4 Apr 2015, 6:00 am
The overwhelming majority of SEC-registered broker-dealers must also be members of FINRA. [read post]
21 Dec 2017, 7:22 am
(FINRA Case #2015044823501) Craig Scott Capital, LLC (CRD® #155924, Uniondale, New York) – An Office of Hearing Officers (OHO) decision became final in which the firm was expelled from FINRA® membership. [read post]
30 Jan 2018, 8:52 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Huntleigh Securities Corporation violated securities laws. [read post]
13 Jun 2017, 3:18 pm
The experienced securities fraud lawyers of Gana LLP are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Andrew Bruce Elsoffer (Elsoffer). [read post]
28 Apr 2017, 2:06 pm
The securities and investment lawyers of Gana LLP are investigating customer complaints filed with the Financial Industry Regulatory Authority (FINRA) against broker Malcolm Segal (Segal). [read post]
25 Jan 2022, 7:38 am
A former customer of Scott Reed, an ex-Wells Fargo Clearing Services broker, has filed a FINRA arbitration claim. [read post]
11 Jan 2012, 7:53 am
All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority) (f/k/a the NASD). [read post]
18 Oct 2017, 2:17 am
Beachwood and Independence, Ohio – Ryan Paugh is under FINRA investigation for violating NASD Rule 3040 and FINRA Rule 3040. [read post]
