Search for: "Financial Industry Regulatory Authority"
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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]
15 Dec 2015, 6:01 am
The Trans-Pacific Partnership (TPP) is a comprehensive and complex agreement. [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, 8:53 am
Be warned: there's some nasty language in today's BrokeAndBroker.com Blog -- and there's even an inappropriate video at the end.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2014, registered representative Claimant Cullen, who represented himself pro se, alleged that Respondents Molen, Olson, and Hewitt had terminated his employment at Thrivent Financial in… [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]
9 Dec 2015, 6:22 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2011025610501) against brokerage firm Braymen, Lambert and Noel Securities, Ltd. [read post]
8 Dec 2015, 2:22 pm
Claims involving the pharmaceutical industry accounted for $96 million in settlements and judgments. [read post]
8 Dec 2015, 6:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Marinelli has been the subject of at least 3 customer complaints, 1 employment termination, 2 judgment or liens, and 1 criminal matter. [read post]
7 Dec 2015, 6:31 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2012034393401) against broker Daniel Barthole (Barthole) resulting in a monetary sanction and a suspension. [read post]
