Search for: "Finra"
Results 6641 - 6660
of 18,149
Sorted by Relevance
|
Sort by Date
12 Jan 2022, 9:09 am
FINRA Said Triad Brokers Unsuitably Recommended LJM Preservation and Growth Fund In December 2021, the Financial Industry Regulatory Authority (FINRA) censured and fined Triad Advisors $195K for allegedly failing to supervise its registered representatives that unsuitably recommended the LJM Preservation and Growth Fund (LJM) to customers. [read post]
15 Apr 2022, 12:54 pm
YES Claimants’ FINRA Arbitration Case Alleged Misrepresentations and Negligence A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two investors $1.2M (plus 6% interest from June 28, 2019, through March 7, 2022) over losses they sustained in the UBS Yield Enhancement Strategy (UBS YES). [read post]
19 Nov 2009, 6:27 am
The amendment would give FINRA authority to regulate the investment advisory business of firms that are dually registered - meaning that they are both registered investment advisors and broker-dealers. [read post]
4 Aug 2022, 7:00 am
Claimant files FINRA arbitration claim for up to six figures in damages A Houston, Texas investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Centaurus Financial after he sustained losses in GWG Holdings L Bonds. [read post]
27 Aug 2010, 10:25 am
This month, the SEC, NASAA and FINRA updated that report, giving an addendum on these best practices relating to senior investors. [read post]
4 Dec 2020, 9:17 am
FINRA Suspends Texas Broker For Three Months Kurt Jason Gunter, a Wells Fargo Clearing Services (WRET) registered representative in Bee Cave, Texas, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jul 2018, 1:31 pm
David Olson (CRD #1700644) was barred from association with any FINRA member in all capacities. [read post]
5 Jun 2020, 12:19 pm
FINRA Accuses SunTrust Investment Services of Failing to Properly Supervise Brokers The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust to pay $634K to settle charges accusing the broker-dealer of not properly supervising 17 of its brokers when they recommended that customers hold non-traditional exchange-traded funds (ETFs) for long periods–a practice that can lead to losses especially when there is market volatility. [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]
16 Nov 2022, 9:10 pm
Our FINRA Lawyers Are Investigating Ex-Western International Securities Broker Daniel Beech Over the past year, Shepherd Smith Edwards and Kantas, a Broker-dealer Arbitration Law Firm, (investorlawyers.com) have filed FINRA lawsuits on behalf of investors seeking to recover financial losses allegedly caused by the allegedly negligent actions of Western International Securities and a number of its financial advisors. [read post]
15 Oct 2020, 6:33 am
Customer Files FINRA Arbitration Claim Against Ex-Berthel, Fischer & Co. [read post]
26 Jul 2018, 1:13 pm
Sanders Spangler (CRD #4188542) was barred from association with any FINRA member in all capacities. [read post]
11 Dec 2020, 9:36 am
FINRA Suspended New York Broker After Senior Investor Lost More Than $69K Mack Leon Miller, a Spartan Capital Securities broker in New York, was suspended by the Financial Industry Regulatory Authority (FINRA) earlier this year. [read post]
14 Dec 2017, 7:42 am
(FINRA Case #2015046971701) Street Capital, LP f/k/a Meyers Associates, L.P (CRD #34171, New York, New York), Nas Adel Allan (CRD #4562149, Staten Island, New York) and Gregory J. [read post]
14 Aug 2020, 9:02 am
In the dispute, filed with the Financial Industry Regulatory Authority (FINRA) arbitration, the client is seeking $712K in compensatory damages. [read post]
23 Oct 2020, 1:11 pm
FINRA Suspends Nebraska Stockbroker Who Marketed An Alleged $300M Ponzi Scam to Customers Troy Robert Baily, a former SagePoint Financial broker, has been suspended by the Financial Industry Regulatory Authority (FINRA) for six months. [read post]
27 Jun 2017, 2:31 pm
Sharenow’s FINRA BrokerCheck record shows several disclosures mainly pertaining to unsuitable investments. [read post]
8 Aug 2022, 7:00 am
Claimants file FINRA arbitration claim against National Securities Two Florida retirees have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against National Securities Corp. [read post]
2 Feb 2010, 6:54 am
FINRA has specific rules regarding advertising and public communications. [read post]
24 Jan 2010, 7:40 am
FINRA also reports that 7% or 310 of the cases closed last were cases "decided by arbitrators after a review of the documents," but it is unclear if these cases were submitted to FINRA on the papers in simplified arbitration (i.e. claims for less than $25,000) or were cases dismissed by FINRA arbitration panels in advance of an evidentiary hearing. [read post]
