Search for: "Financial Industry Regulatory Authority"
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24 Nov 2015, 6:18 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Luigi Mancusi (Mancusi) has been the subject of at least 4 customer complaints. [read post]
23 Nov 2015, 3:15 pm
– will be taking back some of the regulatory responsibilities it yielded to the Financial Industry Regulatory Authority (“FINRA”), starting in 2007 when the NYSE and National Association of Securities Dealers (“NASD”) merged their self-regulatory functions. [read post]
23 Nov 2015, 9:16 am
” Prepaid financial products. [read post]
23 Nov 2015, 6:13 am
The attorneys at Gana LLP are interested in speaking with investors of broker Mark Hughes (Hughes) According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Hughes has been the subject of at least 7 customer complaints, and 1 regulatory action over the course of his career. [read post]
23 Nov 2015, 2:29 am
FINRA lowers the boom.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, Mark J. [read post]
22 Nov 2015, 1:35 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Kenneth Bolton (Bolton) has been the subject of at least 10 customer complaints, and 1 regulatory action, and one employment separation for cause. [read post]
20 Nov 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Tracy Wengert (Wengert) (FINRA No. 2015044289201) resulting in a bar from the securities industry alleging that Wengert failed to provide FINRA staff with information and documents requested. [read post]
20 Nov 2015, 6:57 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Yasnis (Yasnis) has been the subject of 3 customer complaints, and 3 regulatory actions. [read post]
19 Nov 2015, 9:50 pm
She argued that preemption is too often an “all-or-nothing” decision that affects an entire industry, and favors disaggregating industries into sub-issues for preemption purposes. [read post]
19 Nov 2015, 11:45 am
I attended the conference and spoke on class action and regulatory risk in small business lending. [read post]
19 Nov 2015, 9:01 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Joseph Fedorko (Fedorko) has been the subject of an astonishing 16 customer complaints. [read post]
19 Nov 2015, 9:01 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Timothy Wynne (Wynne) has been the subject of at least 5 customer complaints. [read post]
18 Nov 2015, 2:13 pm
Without admitting to or denying the Financial Industry Regulatory Authority findings, Comuzzi consented that he refused to respond to FINRA’s request for information. [read post]
18 Nov 2015, 2:08 pm
Without admitting to or denying the Financial Industry Regulatory Authority findings, Aigster consented that he failed to respond to FINRA’s request for documents information in connection with an investigation. [read post]
18 Nov 2015, 2:02 pm
Without admitting to or denying the Financial Industry Regulatory Authority findings, Harris consented that he refused to respond to FINRA’s request for information. [read post]
18 Nov 2015, 5:53 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Matthew Giannone (Giannone) has been the subject of at least 6 customer complaints. [read post]
17 Nov 2015, 8:05 am
FINRA’s BrokerCheck Could Help Investors More The Financial Industry Regulatory Authority (FINRA), the watchdog for the securities industry, operates a Yelp or Angie’s List-style database called BrokerCheck. [read post]
17 Nov 2015, 7:13 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Galinsky (Galinsky) has been the subject of at least 4 customer complaints, 2 regulatory actions, 2 employment separations for cause, and two criminal matters. [read post]
16 Nov 2015, 9:01 am
To that end I attended a lively and interesting seesion on "Promoting human rights in agricultural supply chains: From Palm Oil Workers in South East Asia to Women in Kenya's Horticulture Industry. [read post]
16 Nov 2015, 6:17 am
There is, however, an argument to challenge the alleged mandatory JAMS and AAA arbitration provision contained in the Credit Suisse Employment Disputes Resolution Program, as brokers who are registered with FINRA are required to arbitrate disputes, claims or controversies with a member firm at the Financial Industry Regulatory Authority, Inc. [read post]
