Search for: "Financial Industry Regulatory Authority"
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12 Sep 2015, 9:38 pm
Joelson, Arbitration in the United States under the Financial Industry Regulatory Authority Ioannis Avgoustis, A short note on the Piraeus Maritime Arbitration Rules Manuel Gómez Carrión, Joinder of third parties: new institutional developments Rizwan Hussain, Taisei Corporation v A.M. [read post]
12 Sep 2015, 12:56 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Patrick Teutonico (Teutonico) has been the subject of at least nine customer complaints and one regulatory action over the course of his career. [read post]
11 Sep 2015, 9:21 am
Case In Point For 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... [read post]
11 Sep 2015, 6:24 am
The Financial Industry Regulatory Authority (“FINRA”) has adopted amendments to its equity research rules and an entirely new debt research rule. [read post]
11 Sep 2015, 5:41 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Dennis Lee (Lee) has been the subject of one customer complaint, four financial disclosures, and one employment separation. [read post]
10 Sep 2015, 9:39 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Francine Frechter (Frechter) has been the subject of two customer complaints and one employment separation. [read post]
9 Sep 2015, 6:17 am
The Financial Industry Regulatory Authority (FINRA) barred former Cetera Advisors LLC (Cetera) broker Bruce Sabourin (Sabourin) after the broker failed to respond to a letter from the regulator requesting information. [read post]
8 Sep 2015, 5:08 pm
Every year just after Labor Day, I take a step back and survey the most important current trends and developments in the world of Directors’ and Officers’ liability and D&O insurance. [read post]
8 Sep 2015, 8:07 am
were fined by the Financial Industry Regulatory Authority (FINRA) for making unsuitable recommendations to investors. [read post]
8 Sep 2015, 6:27 am
According to BrokerCheck, as maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
8 Sep 2015, 3:21 am
Case In Point In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013 and amended in May 2014, registered person Claimant Sabb sought $15,000 in damages and an expungement from her Central Registration Depository record (“CRD”). [read post]
5 Sep 2015, 6:23 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
4 Sep 2015, 11:34 am
Financial Industry Regulatory Authority (FINRA ) issued a new investor alert this week, Messaging Apps Are Latest Platform for Delivering Pump-And-Dump Scams, warning investors to be wary of investment schemes forwarded to them on the popular messaging platform WhatsApp. [read post]
4 Sep 2015, 6:35 am
According to his BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA), Mr. [read post]
4 Sep 2015, 4:48 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Kevin Ellman (Ellman) has been the subject of at least four customer complaints and one regulatory action. [read post]
4 Sep 2015, 4:47 am
The Financial Industry Regulatory Authority (FINRA) barred former LPL Financial LLC (LPL) broker Thomas Caniford (Caniford) after the broker failed to respond to a letter from the regulator requesting information. [read post]
3 Sep 2015, 7:00 am
The Financial Industry Regulatory Authority (FINRA) sanctioned five brokers formerly associated with now expelled brokerage firm HFP Capital Markets LLC (HFP Capital) (Case No. 2010024522103) including brokers Jonah Engler (Engler), Brett Friedberg (Friedberg), Jonathan Sheklow (Sheklow), Joshua Turney (Turney), and Hector Perez (a/k/a Bruce Johnson) (Perez) concerning allegations that between December 2009, and February 2011, the five brokers fraudulently sold a… [read post]
2 Sep 2015, 4:00 pm
An arbitration panel with the Financial Industry Regulatory Authority (FINRA) has recently awarded an elderly couple $2.5 million in an investment fraud case. [read post]
2 Sep 2015, 7:38 am
The Financial Industry Regulatory Authority (FINRA) barred (Case No. 201303930510) broker Kai Cheng (Cheng) concerning the broker’s failure to respond to requests for information concerning the regulators investigation into claims that Cheng engaged in conduct including entering into personal financial transactions with a customer, using a personal email address to communicate with a customer, and unauthorized trading in a customer account. [read post]
2 Sep 2015, 7:38 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Fasciglione (Fasciglione) has been the subject of at least 11 customer complaints and two regulatory actions. [read post]
