Search for: "Financial Industry Regulatory Authority"
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6 May 2015, 3:39 pm
The Financial Industry Regulatory Authority fined LPL Financial $10 million for what they deemed as “broad supervisory failures. [read post]
6 May 2015, 11:32 am
Senior-aged investors continue to dominate securities related news coming out of the Financial Industry Regulatory Authority (FINRA). [read post]
6 May 2015, 9:36 am
LPL Financial agreed to pay more than $11 million to settle charges in connection with a Financial Industry Regulatory Authority (FINRA) investigation into the firm, as recently reported in the Wall Street Journal. [read post]
6 May 2015, 6:47 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Vito Balsamo (Balsamo) concerning allegations that Balsamo engaged in private securities transactions – also known as “selling away” – in ownership interests in a limited liability company called V.W. [read post]
5 May 2015, 7:03 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Brian Decker (Decker) has been the subject of at least 10 customer complaints and 2 judgments and liens over the course of his career. [read post]
5 May 2015, 7:02 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Paul Godlewski (Godlewski) concerning allegations Godlewski refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities. [read post]
4 May 2015, 4:25 am
Alas, the Devil is always in the details.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in June 2013 and as amended thereafter, Claimants asserted causes of action against Respondent RBC Capital. [read post]
1 May 2015, 1:38 pm
The Financial Industry Regulatory Authority (FINRA) accepted on April 27, 2015 a Letter of Acceptance, Waiver and Consent No. 2013037694701 (AWC) from Stuart Conley, a former broker of UBS Financial Services Inc. and Further Lane Securities, L.P. for placing discretionary trades in 21 separate accounts. [read post]
1 May 2015, 7:27 am
It has been reported that, the arbitration forum operated by The Financial Industry Regulatory Authority (FIRNA) has ordered Barclays PLC to pay Mayank Chamadia, a former swaps trader, approximately $9 million in back pay after he quit during a regulatory investigation. [read post]
1 May 2015, 5:35 am
Unfortunately the victim, in turn, sort of victimizes her employer and, well, in the end, it all ends very badly with a lot of pain.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 without an adjudication of any issue, Lisa Suzanne Dutcher submitted a Letter of Acceptance, Waiver… [read post]
30 Apr 2015, 1:44 pm
On April 28, 2015 the Financial Industry Regulatory Authority Department of Enforcement filed a complaint against Mr. [read post]
30 Apr 2015, 8:59 am
EPA Region 5 issued to FutureGen Industrial Alliance, Inc. [read post]
30 Apr 2015, 6:32 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) Wells Fargo Advisors, LLC (Wells Fargo) broker Joseph DiRago Jr. [read post]
29 Apr 2015, 12:02 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Gregory Dean (Dean) has been the subject of at least 4 customer complaints over the course of his career. [read post]
29 Apr 2015, 4:38 am
Smarsh, Inc. and Financial Industry Regulatory Authority/Department of Enforcement, Defendants (Complaint, DDC, 15-CV-00494, April 6, 2015), Plaintiffs North and Pompeo sought at least $3,000,000 in damages and relief against Defendants Smarsh and FINRA for spoliation, tampering and destruction of evidence and to prevent use of such spoliated and tampered evidence.NOTE: Defendants in a civil lawsuit are presumed innocent unless an... [read post]
28 Apr 2015, 8:55 am
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 without an adjudication of any issue, Daniel Grieco submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Apr 2015, 11:37 am
In what appears to be another example of broker-dealers continuing to ensure that the wrong speculative securities are sold to the wrong investors, the Financial Industry Regulatory Authority (FINRA) announced in a News Release on April 23, 2015 that RBC Capital Markets, LLC was fined approximately $1 million and ordered to pay restitution of approximately $400,000 for the firm’s failure to supervise the unsuitable sale of reverse convertible securities… [read post]
27 Apr 2015, 6:29 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Karl Romero (Romero) has been the subject of at least 9 customer complaints over the course of his career. [read post]
27 Apr 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Pasquale “Pat” Vitucci (Vitucci) has been the subject of at least 19 customer complaints over the course of his career. [read post]
24 Apr 2015, 4:09 pm
However, he noted that there still may be more to do, such as: expand its focus on disclosures to include all complex securities sold to retail investors and work to include the NASAA and the Financial Industry Regulatory Authority in this effort. [read post]
