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19 Aug 2015, 11:50 am
A Letter of Acceptance, Waiver and Consent (AWC) was recently accepted by the Financial Industry Regulatory Authority’s (FINRA’s) Department of Enforcement from Paul F. [read post]
22 Jul 2016, 9:48 am
Abrams is currently employed and registered with Ameriprise Financial Services, Inc., and works at the broker-dealer’s Marlton, New Jersey office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
4 Aug 2020, 1:21 pm
Financial Advisor Stanley Secor, Cetera Advisor Networks, Salt Lake City, NV FINRA Reportedly bars Stanley Secor after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Stanley Secor (CRD#: 1982414) from associating with any FINRA member at any time after he allegedly failed to provide information in FINRA’s… [read post]
5 Nov 2023, 6:03 pm
In a recent regulatory development, BrokerBank Securities, Inc. and its CEO, Philip Paul Wright, faced severe sanctions from the Financial Industry Regulatory Authority (FINRA). [read post]
26 Aug 2016, 2:22 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
26 Aug 2016, 2:22 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
18 Nov 2011, 1:20 pm
Financial Industry Regulatory Authority intended to establish a formal basis for cooperation between the regulators and to facilitate the exchange of information . [read post]
6 Dec 2013, 1:41 pm
The Financial industry Regulatory Authority (FINRA) suspened Lisnek in November alleging fraud associated with cash investments in exchange for REIT stocks. [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]
30 Sep 2009, 3:49 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in September 2009: William David Brusseau formerly of Independent Financial Group in Pasadena, California, and Omni Brokerage of Pasadena, California, was barred from association with any FINRA member in any capacity for allegedly borrowing money from customers. [read post]
6 Apr 2021, 9:02 am
Broker-Dealers Collectively Will Pay $550K Fine and Over $3.3M in Restitution The Financial Industry Regulatory Authority (FINRA) has fined and censured three brokerage firms after finding that they failed to supervise recommendations of the LJM Preservation and Growth Fund (LJMIX, LJMCX, LJMAX) and did not conduct the proper due diligence into the alternative mutual fund: Cambridge Investment Services will pay a $400K fine plus more than $3M in… [read post]
10 Sep 2024, 3:00 am
Consumer Regulatory Law Explore this content for an overview of the federal legal framework for financial institutions and entities that provide consumer financial services. [read post]
Former Benjamin & Jerrold Broker Rand Heckler Faces Elder Financial Fraud and Ponzi Scam Allegations
9 Oct 2020, 10:16 am
Heckler, who was barred by the Financial Industry Regulatory Authority (FINRA) last year, is also now facing criminal charges alleging that he ran an over $1M Ponzi scam. [read post]
28 Jun 2017, 10:48 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has awarded two investors $793,000 in their Puerto Rico municipal bond fraud case against UBS Financial Services (UBS) and UBS Financial Services of Puerto Rico (UBS-PR). [read post]
18 Jun 2021, 11:54 am
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against financial advisor Michael Giovannelli, who also goes by the name Michael Anthony. [read post]
17 Jun 2021, 7:26 am
FINRA Reportedly Bars Salvatore Pizzimenti after Customer Complaints Allege Churning, Unsuitability According to public documents posted on June 11, 2021, the Financial Industry Regulatory Authority (FINRA) has barred Worden financial advisor Salvatore Pizzimenti in connection to an investigation into his trading of customer accounts. [read post]
4 Apr 2016, 3:36 am
Consider the efforts of an HSBC registered representative in a recent FINRA regulatory settlement.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 adjud... [read post]
7 May 2013, 5:48 am
In the end, this case smacks more of a regulatory speed trap designed to generate fines than a compelling effort to educate the industry and protect the public -- which, after all, is the supposed mission of Wall Street's regulators.The Book of JobeFor 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… [read post]
Gurpreet Chandhoke and Stephen Shea Subject to Regulatory Action Over VII Peaks Capital Transactions
12 Oct 2019, 8:59 am
The law offices of Gana Weinstein LLP are currently investigating claims that advisors Gurpreet Chandhoke (Chandhoke) and Stephen Shea (Shea) are subject to a complaint filed by The Financial Industry Regulatory Authority (FINRA) concerning their actions selling VII Peaks Capital to investors. [read post]
15 Jul 2015, 11:07 am
On July 6, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Wells Fargo Advisors, LLC, Wells Fargo Advisors Financial Network, LLC (collectively, “Wells Fargo”), Raymond James & Associates, Inc., Raymond James Financial Services, Inc. [read post]
