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23 Feb 2017, 8:17 am
The FINRA complaint was filed in February 2016. [read post]
31 Dec 2018, 7:50 am
Claims may be brought in securities arbitration before FINRA. [read post]
4 Aug 2016, 7:33 am
If it can be determined that Egan violated FINRA rules and his employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
14 Oct 2016, 6:37 am
For FINRA’s full findings see FINRA Case #2015044670801. [read post]
22 Sep 2019, 11:54 am
He reportedly has 1 customer complaint on his broker check record, according to FINRA. [read post]
31 Mar 2018, 10:42 am
For this, he was barred from the industry by the FINRA panel. [read post]
11 Dec 2017, 8:45 am
FINRA Censures and Fines H. [read post]
23 Mar 2021, 7:23 am
For one offering, FINRA alleged that the firm failed to identify a securities related litigation against a key director and officer of the issuer. [read post]
9 May 2024, 11:59 am
The FINRA claim seeks damages in an amount between $100,000 and $200,000. [read post]
9 Jul 2019, 7:16 am
According to a Letter of Acceptance, Waiver & Consent posted on FINRA’s website this week, the regulator has reportedly barred Brenda Ann Smith from associating with any FINRA member at any time. [read post]
19 Dec 2017, 7:39 am
For FINRA’s full findings see FINRA case # 2015048088401. [read post]
14 Oct 2011, 12:51 pm
-based Raymond James has been FINRA member since May 1974. [read post]
1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
30 Apr 2013, 9:34 am
According to Investment News, FINRA proposed to two options on how brokerage firms could use to report per-share estimated value. [read post]
24 Jun 2015, 7:33 am
According to FINRA Melzer was compensated at least $26,500. [read post]
1 Nov 2019, 2:48 pm
According to FINRA, “Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable annuities are a leading source of investor complaints to FINRA. [read post]
4 Aug 2014, 7:53 am
FINRA alleges that the total losses amounted to more than $1 million. [read post]
21 Jul 2011, 1:18 pm
In his speech to the attendees of FINRA's Annual Conference, FINRA Chairman and CEO Richard Ketchum said this: "We are taking a close look at excess charges for routine services, which some firms appear to be treating as an additional de facto commission. [read post]
8 May 2019, 1:08 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel is ordering Morgan Stanley (MS) to pay a claimant $454,813 for retirement fund mismanagement. [read post]
11 Nov 2014, 6:02 am
This is a violation of Securities and Exchange Commission (“SEC”) and FINRA rules. [read post]
