Search for: "Financial Industry Regulatory Authority"
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18 Aug 2015, 6:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Richard Whitley (Whitley) has been the subject of at least 13 customer complaints and one regulatory action that has resulted in Whitley being barred. [read post]
18 Aug 2015, 6:23 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Honingstock (Honingstock) has been the subject of at least two customer complaints, two financial disclosures, and three judgments and/or liens. [read post]
17 Aug 2015, 3:32 am
Consider this recent FINRA expungement arbitration.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in N... [read post]
16 Aug 2015, 3:53 pm
Section 342 of Dodd-Frank, passed by Congress and signed into law by President Barack Obama at the end of 2010, directed each of 12 affected federal financial industry regulators to establish an Office of Minority and Women Inclusion (OMWI) and to publish, no later than January 21, 2011, proposed regulations designed to increase diversity in the financial industry, in both employment and contracting. [read post]
16 Aug 2015, 4:49 am
In today's BrokeAndBroker.com Blog, veteran Wall Street regulatory attorney Bill Singer explores the world of hurt that can occur should you refuse to provide information or testimony to the Financial Industry Regulatory Authority ("FINRA"). [read post]
14 Aug 2015, 8:38 am
Per Financial Industry Regulatory Authority’s (FINRA) announcement this week, a former registered representative of Caldwell International Securities Corp., Richard Adams aka Rasheed Aree Adams, has been barred permanently from the securities industry for churning customer accounts, other securities violations, and failure to report many unsatisfied judgments and liens on his U4 Registration Form as stipulated in FINRA rules. [read post]
13 Aug 2015, 11:41 am
Lee’s publicly available Financial Industry Regulatory Authority (FINRA) BrokerCheck report, he was “discharged for failing to disclose financial issues requiring Form U4 amendments, mismarking trade tickets, and placing securities trades away from AXA. [read post]
13 Aug 2015, 6:27 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jerry McCutchen (McCutchen) has been the subject of at least 15 customer complaints and one judgment or lien. [read post]
13 Aug 2015, 6:26 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Justin Amaral (Amaral) has been barred for failing to respond to requests for information by the agency. [read post]
12 Aug 2015, 9:07 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Ledoux (Ledoux) was recently fined and suspended by the regulator for failing to disclose certain liens on his registration. [read post]
11 Aug 2015, 6:27 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Julius Kenney (Kenney) concerning allegations Kenney refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities. [read post]
10 Aug 2015, 7:03 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Judith Woodhouse (Woodhouse) has been barred for failing to respond to requests for information by the agency. [read post]
10 Aug 2015, 3:53 am
Maybe they got you -- maybe you just can't afford to fight it -- whatever the reason, the Financial Industry Regulatory Authority ("FINRA") is proposing that you resolve the allegations of violations pursuant to an Acceptance, Waiver, and Consent settlement ("AWC"). [read post]
9 Aug 2015, 2:56 pm
The Financial Industry Regulatory Authority (FINRA) issued a press release concerning two settlements fining Morgan Stanley Smith Barney, LLC (Morgan Stanley) $650,000 and Scottrade, Inc. $300,000 for failing to implement reasonable supervisory systems to monitor the transmittal of customer funds to third-party accounts. [read post]
7 Aug 2015, 12:39 pm
EFF has been engaged with the author of the bill, explaining our concerns, opposing the bill, and helping to strip out some of the worst elements of the initial text. [read post]
7 Aug 2015, 8:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker James Ham (Ham) has been the subject of at least two customer complaints, one financial matter, three regulatory events, two employment separations, and one judgement/lien. [read post]
7 Aug 2015, 6:36 am
Or does it show that it is broken, because board members repeatedly miss major financial decisions? [read post]
6 Aug 2015, 6:21 pm
The authors’ guest post follows. [read post]
6 Aug 2015, 10:29 am
FINRA Bars Former Caldwell Broker for Churning Customer Accounts -The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for churning customers’ accounts and other securities rule violations. [read post]
5 Aug 2015, 3:10 pm
The New York based brokerage firm, Aegis Capital Corp, agreed to pay $950,000 to settle allegations with the Financial Industry Regulatory Authority (FINRA). [read post]
