Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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26 Jan 2012, 8:40 am
The Financial Industry Regulatory Authority (FINRA) announced that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc., $1 million for supervisory failures that allowed a registered representative at Merrill Lynch’s branch office in San Antonio, Texas, to use a Merrill Lynch account to operate a Ponzi scheme. [read post]
25 May 2017, 5:04 am
At the same time The Financial Industry Regulatory Authority’s (FINRA) opened its own investigation into Eng concerning Axiom’s disclosures for Eng’s termination. [read post]
3 Dec 2018, 1:44 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Steinberg concern allegations of unsuitable investments. [read post]
12 Jan 2019, 6:06 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Faust concern allegations of unsuitable investments in market linked notes. [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]
10 Nov 2015, 5:45 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Ralph Savoie (Savoie) (FINRA No. 2015046239401) resulting in a bar from the securities industry alleging that Savoie failed to provide FINRA staff with information and documents requested. [read post]
5 Nov 2017, 7:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Christopher Wendel (Wendel), in September 2017, was terminated by his firm, SA Stone Wealth Management Inc. [read post]
10 Jul 2017, 6:57 am
According to BrokerCheck records Brian Murphy (Murphy) has been sanctioned and barred by The Financial Industry Regulatory Authority (FINRA) over allegations that the broker failed to respond to the regulator’s requests for information. [read post]
5 May 2017, 11:23 am
Although the industry regulator, the Financial Industry Regulatory Authority, Inc. [read post]
23 Feb 2012, 2:13 pm
The suspension followed the board’s investigation of a regulatory action by the Financial Industry Regulatory Authority (FINRA). [read post]
3 Jan 2019, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Reznik concern allegations of unsuitable investments and allegations of overconcentration involving equities and options. [read post]
3 Feb 2019, 9:45 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Reznik’s customer complaints allege that Reznik made unsuitable recommendations by concentrating investors in a particular sector, possibly energy. [read post]
30 Apr 2019, 1:28 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Leavitt’s customer complaints allege that Leavitt made unsuitable recommendations and made misrepresentations. [read post]
21 May 2019, 6:11 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Kordich’s customer complaints allege that Kordich recommended unsuitable investments and securities among other allegations. [read post]
25 Jun 2024, 11:25 am
FINRA Bars Raymond James Advisor Bryan Noonan after allegations of Selling Away According to public documents on June 24, 2024, The Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Bryan Noonan from working in the securities industry. [read post]
13 Jun 2017, 3:18 pm
The experienced securities fraud lawyers of Gana LLP are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Andrew Bruce Elsoffer (Elsoffer). [read post]
1 Mar 2013, 4:11 am
FINRA, the Financial Industry Regulatory Authority, Inc., who regulates brokerages such as Schwab didn’t like it so it sued Schwab. [read post]
27 Dec 2011, 10:49 am
(Citigroup) issued by a Financial Industry Regulatory Authority (FINRA) arbitration panel in April. [read post]
3 Jan 2018, 10:10 am
The Financial Industry Regulatory Authority (FINRA) once again has forced Citigroup to pay at least $11.5 million in fines and restitution due to claims that it displayed the wrong research ratings on more than 1,800 stocks. [read post]
18 Apr 2017, 2:27 pm
Gana LLP’s securities fraud investigation has uncovered a complaint filed by the Financial Industry Regulatory Authority (FINRA) against broker Gerald O’Halloran (O’Halloran). [read post]
