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20 Mar 2017, 2:39 pm
FINRA maintains a database that the public can access to check the credentials of their financial advisors. [read post]
12 Mar 2020, 11:36 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
19 Nov 2020, 12:24 pm
FINRA Reportedly Suspends David “Todd” Phillips for Alleged Sales of Future Income Payments According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has reportedly suspended financial advisor David Todd Phillips and fined him $5,000 after allegations of private securities transactions. [read post]
20 Mar 2020, 10:35 am
Kozak, Cetera Advisors, Highlands Ranch, CO FINRA Reportedly Suspends Advisor Scott P. [read post]
20 Aug 2009, 8:55 am
Shortly after FINRA's edict, Saint-Louis based Edward D. [read post]
21 Aug 2014, 1:22 pm
” FINRA Enforcement should pursue these broker-dealers for including these clauses in customer agreements. [read post]
28 Feb 2012, 10:43 am
("FINRA") instituted a disciplinary proceeding against Schwab taking the position that the Schwab class action waiver clause violated FINRA's rules. [read post]
25 May 2009, 9:42 pm
VSR Financial Services, an investment firm, has agreed to pay $10.3 million to settle a FINRA claim that it failed to properly supervise two ex-brokers accused of improperly selling risky investments to 249 customers. [read post]
14 Nov 2014, 6:07 am
FINRA found that in 2009 through the early part of 2010, the account activity was particularly high. [read post]
30 Jan 2018, 12:06 pm
Anderson was “indefinitely” suspended by FINRA for failing to comply with an arbitration award, pay a settlement, and/or failing to tell FINRA about the status of that award. [read post]
30 Jan 2018, 12:06 pm
Anderson was “indefinitely” suspended by FINRA for failing to comply with an arbitration award, pay a settlement, and/or failing to tell FINRA about the status of that award. [read post]
24 Aug 2009, 3:46 pm
The competing firm was also not a member of FINRA. [read post]
17 Sep 2014, 6:06 am
Clark asked in his answer to the complaint that the FINRA complaint be dismissed with prejudice. [read post]
30 May 2024, 7:28 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
30 Sep 2013, 12:28 pm
By failing to disclose his outside business activities, FINRA alleged that Hernandez violated FINRA Rules 3270 and 2010. [read post]
2 Jan 2014, 5:40 am
FINRA found that the use of external emails to correspond concerning securities related business was a violation of the FINRA rules. [read post]
1 Dec 2021, 9:33 am
The company has 23 branch offices and more than 350 registered representatives and became a FINRA member in 1984. [read post]
9 Dec 2014, 6:18 am
In addition, FINRA found that LaSalle did not disclose that both RL and CIG had been sanctioned by FINRA because they had sold shares of a private placement offering pursuant to an offering document that contained material misrepresentations or omissions. [read post]
15 Aug 2017, 11:58 am
For FINRA’s full findings see FINRA Case # 2015046728802. [read post]
12 Apr 2019, 11:07 am
” For FINRA’s full findings see FINRA case number 2018059400801. [read post]
