Search for: "Financial Industry Regulatory Authority"
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7 Dec 2015, 6:31 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038133001) against broker Joseph Daigneault (Daigneault) resulting in a monetary sanction and a suspension. [read post]
7 Dec 2015, 2:06 am
In keeping with that spirit, today's cheerful BrokeAndBroker Blog considers the claims of a deceased mother's son and how his anger over the handling of a Transfer on Death account besmirched a veteran stockbroker's reputation.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration S... [read post]
7 Dec 2015, 2:06 am
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, Thomas J. [read post]
6 Dec 2015, 6:05 am
The Financial Industry Regulatory Authority (FINRA) recently brought an enforcement action (FINRA No. 2015045744901) against Kasbar alleging that between 2010 and 2015, Kasbar engaged in an outside business activity beyond the scope of the approvals provided by his FINRA member firm – also referred to as “selling away” in the industry – HD Vest Investment Services (HD Vest) and LPL Financial, LLC (LPL). [read post]
5 Dec 2015, 7:54 am
The Financial Industry Regulatory Authority (FINRA) recently brought an enforcement action (FINRA No. 2011025610501) against Morgan alleging that between November 2011 and December 2014, while he was associated with brokerage firm Uhlmann Price, Securities, LLC (Uhlmann Price) Morgan participated in private securities transactions – also referred to as “selling away” in the industry – without providing notice to his firm. [read post]
4 Dec 2015, 5:27 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015044589701) against broker David Khezri (Khezri) resulting in a monetary sanction and suspension. [read post]
3 Dec 2015, 7:45 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Wuhl has been the subject of at least 15 customer complaints and 1 employment termination. [read post]
3 Dec 2015, 7:45 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action (FINRA No. 2015045289901) against broker Jeffrey Snyder (Snyder) resulting a permanent bar from the securities industry. [read post]
2 Dec 2015, 6:37 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Coffey has been the subject of at least 13 customer complaints, 2 judgments or liens, and 1 criminal matter. [read post]
2 Dec 2015, 6:36 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action (FINRA No. 2012034029401) against broker Denny Darmodihardjo (Darmodihardjo) resulting in a $25,000 fine and an 18 month suspension from the securities industry. [read post]
1 Dec 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Gill has been the subject of at least 7 customer complaints. [read post]
1 Dec 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) McKinstry has been the subject of at least 5 customer complaints, 2 regulatory actions, and two employment terminations. [read post]
1 Dec 2015, 6:08 am
NYDFS seeks input from a variety of stakeholders, including other regulatory agencies, prior to proposing final regulations for the financial industry. [read post]
30 Nov 2015, 6:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Vincent has been the subject of at least 9 customer complaints, one regulatory event, and three judgment or liens. [read post]
30 Nov 2015, 6:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Aabel has been the subject of at least 10 customer complaints, one regulatory event, three judgment or liens, and three financial disclosures. [read post]
29 Nov 2015, 4:54 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Schoeppler has been the subject of at least 10 customer complaints, one criminal matter, and three judgments or liens. [read post]
28 Nov 2015, 7:04 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Rosenmayer has been the subject of at least 17 customer complaints. [read post]
26 Nov 2015, 6:00 am
Specifically, the authority would oversee the bidding and management process for public contracts “to prevent favoritism, collusion and corruption in the allocation and management of public contracts in the construction industry. [read post]
24 Nov 2015, 8:11 am
Instead of a meaningful conclusion to two settlements, FINRA sort of presents us with something akin to laughable hi-jinks in Bedrock City replete with a Yabba Dabba Doo send-off.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,… [read post]
24 Nov 2015, 6:44 am
This article was originally posted on Stock Market Loss On November 17, 2015, The Financial Industry Regulatory Authority (“FINRA”) filed a disciplinary action against David Miller, formerly a stockbroker employed by the Huntington Investment Company. [read post]
