Search for: "Financial Industry Regulatory Authority"
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26 Oct 2015, 7:16 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Eric Wegner (Wegner) has been the subject of at least 5 customer complaints and two financial disclosures. [read post]
26 Oct 2015, 7:16 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Lucian Hodgman (Hodgman) has been the subject of at least 4 customer complaints, 4 regulatory action, and three employment terminations. [read post]
26 Oct 2015, 5:36 am
Let's just say, we got a guy who may have gone through the motions . . . if even that.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting o... [read post]
25 Oct 2015, 11:12 am
Victims of Domestic Abuse About the Author Cynthia Marcotte Stamer is a practicing attorney and Managing Shareholder of Cynthia Marcotte Stamer, P.C., a member of Stamer│Chadwick │Soefje PLLC, author, pubic speaker, management policy advocate and industry thought leader with more than years’ experience helping business and government organizations and their leaders manage. [read post]
24 Oct 2015, 6:05 am
A recent FINRA regulatory settlement presents us with a troubling fact pattern in which an elderly couple seem to have been taken advantage of by their stockbroker.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, Anthony C. [read post]
23 Oct 2015, 2:59 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, David den Boer submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
22 Oct 2015, 4:39 am
Bill Singer speaks to Martin Kaplan, partner with the law firm of Gusrae Kaplan Nusbaum, on the current "draconian" regulatory environment under the Financial Industry Regulatory Authority. [read post]
21 Oct 2015, 10:13 am
Read this recent FINRA arbitrationCase In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2013, public customer Claimant Phillips representing himself pro se alleged the following causes of action against Respondent Chase Investment Services: breach of fiduciary duty,misrepresentations,omission of facts,failure to supervise,negligence, andfailure to execute. [read post]
20 Oct 2015, 6:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Horning (Horning) has been the subject of at least 8 customer complaints. [read post]
20 Oct 2015, 6:38 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Russell Macke (Macke) has been the subject of at least 5 customer complaints, 2 regulatory actions, and 2 employment terminations, and 7 judgment or liens. [read post]
19 Oct 2015, 11:22 am
Where the Court makes an award of damages in opt-out class actions, any unclaimed damages must be paid to a charity or the Tribunal can order that the representative is paid an amount to cover his costs and expenses in connection with the proceedings.[16] This limitation was introduced to prevent representatives being driven by the financial incentive of unclaimed damages. [read post]
19 Oct 2015, 8:00 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Joseph Miles (Miles) has been the subject of at least 3 customer complaints, 3 judgements or liens, and one bankruptcy discharge. [read post]
19 Oct 2015, 8:00 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Stephen Kipp (Kipp) has been the subject of at least 6 customer complaints, 1 regulatory action, and 1 employment termination. [read post]
19 Oct 2015, 6:54 am
There's something in the air tonight that takes your breath away -- so just breathe fresh air.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2011, Claimant RBC Capital Markets asserted breach of a promissory note executed in July 2008 as a result of Respondent B... [read post]
19 Oct 2015, 6:05 am
Consider this recent FINRA 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 adjudi... [read post]
18 Oct 2015, 6:43 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Edward Jeffery (Jeffery) has been the subject of one customer complaint and one regulatory action. [read post]
17 Oct 2015, 6:56 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Louis Baudendistel (Baudendistel) has been the subject of at least 4 customer complaints. [read post]
17 Oct 2015, 6:18 am
In response, the Financial Industry Regulatory Authority (“FINRA”) has been taking steps to impose new requirements that will impact many broker-dealers, especially those that hold inventory positions or that clear and carry customer transactions. [read post]
17 Oct 2015, 6:18 am
In response, the Financial Industry Regulatory Authority (“FINRA”) has been taking steps to impose new requirements that will impact many broker-dealers, especially those that hold inventory positions or that clear and carry customer transactions. [read post]
16 Oct 2015, 2:16 pm
According to BrokerCheck, 19 customer disputes have been filed with the Financial Industry Regulatory Authority (FINRA) that mention Colon. [read post]
