Search for: "Financial Industry Regulatory Authority"
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Former National Securities Corporation Broker Brian Folland Subject to Numerous Customers Complaints
8 Oct 2015, 6:36 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Brian Folland (Folland) has been hit with at least 30 customer complaints over his career and two tax liens. [read post]
8 Oct 2015, 4:57 am
And if the DWC has no expertise, then how can the Division routinely test, qualify, and scrutinize (and in fact has disciplinary authority) medical professionals that are in the QME system? [read post]
7 Oct 2015, 8:27 pm
This would apply generally to the consumer financial products and services that t [read post]
7 Oct 2015, 8:27 pm
In addition to consulting with small business representatives, the Bureau will continue to seek input from the public, consumer groups, industry, and other stakeholders before continuing with the process of a rulemaking. [read post]
7 Oct 2015, 8:17 pm
The Consumer Financial Protection Bureau today proposed that the regulatory environment be changed so that financial services companies cannot avoid being held accountable for wrongdoing -- such as by violating consumer protection laws -- by diverting legal complaints by consumers into arbitration. [read post]
7 Oct 2015, 7:55 am
Gill is employed and registered with Chelsea Financial Services, a broker-dealer with an office in Tinton Falls, New Jersey, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Oct 2015, 7:26 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker William Gillis (Gillis) has been hit with at least 11 customer complaints over his career of which three have been filed in 2015 alone. [read post]
7 Oct 2015, 7:26 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker John Jones (Jones) (FINRA No. 2013036960801) alleging that between January 2004 and December 2006, Jones engaged in unsuitable trading in a customer’s account by recommending purchases of three speculative investments inconsistent with the customer’s investment objectives and financial condition and resulting in an overconcentration in the… [read post]
6 Oct 2015, 7:08 am
The law offices of Gana LLP has filed an arbitration complaint before the Financial Industry Regulatory Authority (FINRA) alleging damages in excess of $3.7 million against Allstate Financial Services, LLC (Allstate) and the estate of Paul J. [read post]
5 Oct 2015, 6:55 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Todd Henrich (Henrich) has been hit with a couple customer complaints this year. [read post]
5 Oct 2015, 6:54 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Donald Levin (Levin) (FINRA No. 2014040335101) alleging that between December and April 2014, Levin hosted a weekly radio show and during that show he made statements that were unbalanced, promissory, misleading and lacked reasonable basis in violation of the FINRA Rules. [read post]
5 Oct 2015, 3:00 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, Pegeen McLaughlin Lodge submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
4 Oct 2015, 9:11 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Ronald Benevento (Benevento) (FINRA No. 20130353695) alleging that between September 2011 through April 2013 Benevento engaged in unsuitable mutual fund switching activity in three customer accounts in violation of the FINRA Rules. [read post]
3 Oct 2015, 5:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Anil Jethmal (Jethmal) has been hit with a large number of customer complaints. [read post]
2 Oct 2015, 7:44 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
1 Oct 2015, 11:51 am
” Those requirements are fleshed out in a mishmash of (among other things) established privacy principles, U.S. government-posted answers to “frequently asked questions,” correspondence between U.S. and European officials, and European regulatory decisions—all of which and more are collected here. [read post]
1 Oct 2015, 7:46 am
., according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
1 Oct 2015, 6:21 am
According to BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker McGriskin entered the securities industry in 2002. [read post]
30 Sep 2015, 12:06 pm
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Leonard Goldberg (Goldberg) (FINRA No. 2011026098504) alleging during the seven year period from August 2007 through August 2014, while he was registered with FINRA through J.P. [read post]
29 Sep 2015, 2:47 pm
In addition, UBS PR settled similar charges with the Financial Industry Regulatory Authority (FINRA) and Agreed to pay $7.5 million fine and interest on up to $11 million in restitution to investors in the closed end mutual funds. [read post]
