Search for: "Financial Industry Regulatory Authority"
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16 Oct 2015, 9:24 am
Such a split would simply uphold a federal appeals court decision against FERC, depriving that agency of a major part of the authority it has used to regulate the wholesale electricity market in the modern format that industry has adopted. [read post]
16 Oct 2015, 8:11 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Schooler (Schooler) has been hit with at least 26 customer complaints over his career. [read post]
15 Oct 2015, 3:36 pm
The Financial Industry Regulatory Authority (FINRA) fined six independent broker dealers who failed to give certain clients discounts on large purchases of non-traded REIT’s. [read post]
15 Oct 2015, 3:26 pm
The Financial Industry Regulatory Authority (FINRA) recently settled charges against Santander Securities LLC for supervisory failures involving certain Puerto Rican bonds and closed end funds. [read post]
15 Oct 2015, 6:21 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jeffrey Fladell (Fladell) has been the subject of at least 6 customer complaints, one regulatory action, and one criminal matter. [read post]
15 Oct 2015, 6:21 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Robert Marks (Marks) has been the subject of at least 2 customer complaints. [read post]
14 Oct 2015, 2:09 pm
On October 13, 2015, the Financial Industry Regulatory Authority (“FINRA”) announced that Santander Securities LLC (“Santander Securities”) has to pay approximately $6.4 million in fines for supervisory related violations surrounding the sale of Puerto Rican Municipal Bonds (“PRMBs”) to Puerto Rican customers. [read post]
14 Oct 2015, 12:00 pm
The Financial Industry Regulatory Authority (FINRA) is introducing new rule proposals that would let financial advisers pause orders if they suspected there to be any financial exploitation of senior investors. [read post]
14 Oct 2015, 9:11 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Hilary Zimmerman (Zimmerman) has been the subject of at least 6 customer complaints over the course of her career. [read post]
14 Oct 2015, 7:51 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Daren Dorval (Dorval) has been the subject of at least 6 customer complaints, 1 regulatory matter, and one criminal matter over the course of his career. [read post]
13 Oct 2015, 6:33 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Wolk (Wolk) has been the subject of an astonishing 13 customer complaints, 3 regulatory matters, one criminal matter, and 6 judgments and liens over the course of his career. [read post]
13 Oct 2015, 6:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Bennett Broad (Broad) has been the subject of an astonishing 28 customer complaints and one regulatory matter over the course of his career. [read post]
12 Oct 2015, 7:01 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Lipscomb (Lipscomb) has been the subject of at least four customer complaints and two criminal matters over the course of his career. [read post]
12 Oct 2015, 7:01 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Francis Velten (Velten) has been the subject of at least eight customer complaints and one regulatory investigation over the course of his career. [read post]
9 Oct 2015, 8:02 am
Pilkington was employed and registered with Stephens, a broker-dealer with an office in Memphis Tennessee from January 2012 through March 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
9 Oct 2015, 6:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Dawn Bennett (Bennett) has been the subject of at least six customer complaints over the course of her career. [read post]
9 Oct 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Page (Page) has been the subject of at least three customer complaints over the course of his career. [read post]
9 Oct 2015, 2:39 am
Read about a recent FINRA regulatory 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 adjudication of any iss... [read post]
9 Oct 2015, 2:39 am
In a bit of mathematical magic, we seem to have traveled twice around a circle only to find ourselves at the end of the beginning of the beginning of the end -- the amazing Mobius Strip of Wall Street Regulation.Case In PointIn September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
8 Oct 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and suspended for two year broker Walter Chao (Chao) (FINRA No. 2012034046301) alleging that between February and May 2012, while registered with LPL Financial LLC (LPL Financial), Chao participated in nine private securities transactions totaling $1.27 million without LPL’s approval. [read post]
