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28 Feb 2010, 2:12 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in February 2010: Donald Dunakin, formerly with GunnAllen Financial and Delta Equity Services Corporation in El Dorado Hills, California, was barred from association with any FINRA member in any capacity for making unsuitable recommendations to customers who had to… [read post]
10 Jul 2013, 3:49 am
For 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, George Bussanich submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
12 Apr 2019, 5:19 am
Uh oh, this ain't gonna end well.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, Wilson-Davis & Co., Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FIN... [read post]
29 Jun 2015, 3:59 am
Consider this recent case where a firm agreed to enhance its protocol for notifying customers of wiring funds to third parties.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, Scottrade, Inc. [read post]
19 Jan 2016, 7:01 am
For 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, Robert Richards Jr. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
3 Jun 2013, 10:11 am
For 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, Huel Cox, Jr. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
5 Nov 2015, 5:54 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Randy Birkinbine (Birkinbine) has been the subject of at least 2 customer complaints, 4 judgements or liens, and 1 employment separation for cause. [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]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
31 Oct 2012, 12:28 pm
The Financial Industry Regulatory Authority Inc. recently announced that it has opened up its arbitration system to registered investment advisers (RIAs). [read post]
14 May 2017, 5:27 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) against broker Richard Cody (Cody) that involves potentially millions in either stolen client funds or misrepresentations concerning the state of their accounts. [read post]
14 Jul 2012, 5:19 pm
NASD then changed its name to the Financial Industry Regulatory Authority (FINRA) - a misnomer because it remains an association, is not an authority, and does not regulate a large portion of the financial industry. [read post]
31 May 2015, 7:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Patrick McGrath (McGrath) has been the subject of at least four customer complaints, two regulatory actions, and one termination over the course of his career. [read post]
26 Feb 2010, 9:43 am
The Court also found that the qualifications of the arbitrator whose competency was questioned by Holland and the replacement of an arbitrator a day before the hearing were all in accordance with the Federal Arbitration Act and the arbitration rules established by the Financial Industry Regulatory Authority. [read post]
6 Jan 2018, 12:26 pm
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a couple against brokerage firm Comprehensive Asset Management and Servicing, Inc. [read post]
23 Sep 2018, 8:23 am
The law offices of Gana Weinstein LLP have filed complaints before The Financial Industry Regulatory Authority (FINRA) on behalf of multiple clients against brokerage firm Comprehensive Asset Management and Servicing, Inc. [read post]
23 Jan 2018, 7:14 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Brent Van Lott (Lott) is being investigated for allegedly violating FINRA rules. [read post]
31 Mar 2016, 12:10 pm
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Robert Cross (Cross) (FINRA No. 2014041637201) of Rome, Georgia. [read post]
3 Jul 2018, 11:46 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA), Barcomb has been subject to four customer disputes concerning unsuitable variable annuity recommendations and failure to conduct due diligence on private placement investments. [read post]
8 Sep 2014, 6:23 am
Cole Financial, Inc. [read post]
