Search for: "Financial Industry Regulatory Authority"
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25 Jun 2015, 6:18 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Robert Tricarico (Tricarico) concerning allegations that Tricarico failed to respond to the regulator’s requests to provide information and documents concerning the an investigation into claims that Tricarico may have stolen money from clients. [read post]
24 Jun 2015, 2:40 pm
On June 22, 2015, the Financial Industry Regulatory Authority, Inc. [read post]
24 Jun 2015, 8:28 am
Rogers apparently consented to a bar from the securities industry was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for failing to cooperate in FINRA’s investigation into Mr. [read post]
24 Jun 2015, 7:33 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Douglas Melzer (Melzer) concerning allegations that between November 2011, and May 2012, while registered with Wells Fargo Advisors, LLC (Wells Fargo), Melzer solicited four customers to invest $2,000,000 in an outside investment without providing his firm notice. [read post]
23 Jun 2015, 6:26 am
According to a National Senior Investor Initiative report cited by the Financial Industry Regulatory Authority (FINRA), the Social Security Administration estimates that each day for the next 15 years, an average of 10,000 Americans will turn 65. [read post]
22 Jun 2015, 10:03 am
On June 26, 2015, the Financial Industry Regulatory Authority ("FINRA") published this somewhat unusual and intriguing press release:FINRA Supports NAC Members, Chris Brummer During Online HarassmentFor Release: Friday, June 26, 2015Washington - FINRA commends Georgetown Law Professor Chris Brummer and other National Adjudicatory Council (NAC) members for their ongoing contributions to FINRA's mission despite online attacks.Prof. [read post]
22 Jun 2015, 6:17 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Hackney (Hackney) has recently been permanently barred by the agency for failing to respond to requests for documents and information. [read post]
19 Jun 2015, 7:35 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Mark Weindling (Weindling) concerning allegations that Weindling failed to respond to the regulator’s requests to provide information and documents concerning the an investigation into claims that Weindling effected transactions within the account of a deceased customer. [read post]
19 Jun 2015, 2:48 am
If there is a hallmark of the Financial Industry Regulatory Authority's ("FINRA's") approach to Wall Street regulation, it is likely found in the self-regulatory organization's FINRA Rule 2010: Standards of Commercial Honor and Principles of Trade:A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.It's a lovely sentiment, no? [read post]
19 Jun 2015, 2:46 am
In a recent FINRA customer arbitration, the Claimants sure as hell got their moneys-worth in terms of a clever legal theory -- if only the Award equaled the brilliant legal effort.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2012, public customer Claimants alleged causes of action including breaches of contract and fiduciary duty, negligence, unsuitability, fraud, improper… [read post]
18 Jun 2015, 3:35 pm
Is the Executive Branch (the Department of Justice or the regulatory agencies) looking at the same issue? [read post]
18 Jun 2015, 12:37 pm
On June 11, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) initiated disciplinary proceedings against John Waszolek (“Waszolek”), a Raymond James & Associates, Inc. [read post]
18 Jun 2015, 9:03 am
"Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2014, Claimant VanderPal sought the expungement of a customer complaint from his Central Registration Depository records (“CRD”). [read post]
18 Jun 2015, 6:03 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined National Securities Corporation (NSC) while alleging that in 2013, NSC acted as the exclusive placement agent for two private placements of its parent company, National Holdings Corporation (National Holdings). [read post]
17 Jun 2015, 6:41 am
According to broker Michael Gates (Gates) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently sanctioned concerning allegations that from January 2011, through October 2011, he effected approximately 22 discretionary transactions for two firm customers without written authorization from the customers or approval from the firm. [read post]
16 Jun 2015, 6:46 am
The Financial Industry Regulatory Authority (FINRA) ordered RBC Capital Markets (RBC) to pay a $1 million fine and approximately $434,000 in restitution to customers for alleged supervisory failures resulting in sales of unsuitable reverse convertibles. [read post]
15 Jun 2015, 6:00 pm
An Arizona broker took advantage of a client who had Alzheimer’s according to a complaint filed by The Financial Industry Regulatory Authority Inc. [read post]
15 Jun 2015, 10:58 am
Word of warning for the clueless among you: This is NOT a how-to article and not intended as a DIY.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 wit... [read post]
15 Jun 2015, 8:27 am
The Financial Industry Regulatory Authority Inc. recently filed a complaint against a broker who allegedly took advantage of a client with Alzheimer’s disease in an attempt to inherit nearly $2 million. [read post]
15 Jun 2015, 8:02 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Daniel Grieco (Grieco) concerning allegations that Grieco made recommendations of non-traditional exchange-traded funds (Non-Traditional ETFs) to various customers without having reasonable grounds to believe his recommendations were suitable. [read post]
