Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
Results 721 - 740
of 3,187
Sorted by Relevance
|
Sort by Date
30 Nov 2017, 7:05 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisors Clement Chichester (Chichester) and Brittney Sias (Sias), in October 2017, were terminated by their firm, Western International Securities, Inc. [read post]
18 Dec 2017, 2:06 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Masood Azad (Azad), in May 2017, was terminated by his employer First Allied Securities, Inc. [read post]
31 Mar 2016, 1:17 pm
(“Raymond James”) moved to vacate a Financial Industry Regulatory Authority (“FINRA”) panel’s (the “Panel”) Award, delivered on February 2, 2016 (the “Award”), which awarded Mark Immel (“Mr. [read post]
16 May 2016, 7:13 am
According to reports, James “Jeb” Bashaw is seeking $30 million in an arbitration claim filed Tuesday with the Financial Industry Regulatory Authority Inc., naming both LPL and LPL’s CEO Mark Casady as respondents. [read post]
22 Jul 2018, 1:29 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Howard Utz (Utz), formerly associated with Hazard & Siegel, Inc. [read post]
22 Jul 2018, 1:29 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Howard Utz (Utz), formerly associated with Hazard & Siegel, Inc. [read post]
24 Jul 2018, 1:40 pm
Milakovich’s Misconduct On December 22, 2017, the Financial Industry Regulatory Authority (“FINRA”) awarded our clients $164,000 due to Milakovich’s misconduct, including unsuitable recommendations, unauthorized trading, negligence, breach of fiduciary duty, and churning. [read post]
25 May 2014, 3:04 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, Claimant Charles Schwab & Co., Inc. sought an expungement of a FINRA arbitration case filed by Respondent Baggarly.In the Matter of the FINRA Arbitration Between Charles Schwab & Co., Inc. [read post]
21 Jul 2014, 6:05 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted causes of action including breaches of fiduciary duty and contract, negligence, and fraud in connection with his three Individual Retirement Accounts (“IRAs”) maintained at Respondent Charles Schwab & Co., Inc. [read post]
28 May 2013, 5:35 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimant Wedbush Securities Inc. asserted breach of contract, an equitable claim for money loaned, and unjust enrichment, in connection with five loans the firm had made to Respondent Hansen during her employment. [read post]
10 Jun 2013, 3:04 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2011, Claimant Lehman Brothers asserted breach of contract and unjust enrichment (the latter cause of action was withdrawn at the hearing) in connection with its efforts to collect on an alleged balance due on a promissory note with its former employee, Respondent Mullen. [read post]
11 Jun 2013, 8:16 am
In September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) (the successor to the National Association of Securities Dealers (“NASD”)) filed a Complaint with its Office of Hearing Officers charging that, in July 2006, John M.E. [read post]
2 May 2012, 6:14 am
The Financial Industry Regulatory Authority ("FINRA") has fined Citigroup Global Markets, Inc. [read post]
18 Jun 2014, 7:47 am
The Financial Industry Regulatory Authority (FINRA) recently announced it has censured and fined Barclays Capital Inc.; Goldman, Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as “blue sheet” data, to FINRA, the SEC and other regulators. [read post]
2 Aug 2017, 6:45 am
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
2 Aug 2017, 3:15 pm
Financial Industry Regulatory Authority’s claims that they failed to have adequate risk controls Deutsche Bank Securities Inc., Citigroup Global Markets Inc., J.P. [read post]
15 Nov 2023, 8:55 am
The Financial Industry Regulatory Authority (FINRA) is the self-regulator that oversees brokers and brokerage firms. [read post]
7 Mar 2018, 10:31 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), A customer alleged in June 2016 that Nicolas engaged in unsuitable investments and churning and alleged failure to supervise on the part of Garden State Securities, Inc. [read post]
19 Dec 2016, 3:07 am
Someone's not.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in July 2015, former Zion’s Direct, Inc. employee Claimant Howard asserted breaches of contract and the implied covenant of good faith and fair dealing; wrongful termination; and the filing of a false Uniform Termination Notice for Securities ... [read post]
13 Mar 2017, 5:00 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016 and amended thereafter, Claimant Marchel asserted violations of the Family and Medical Leave Act of 1992 (“FMLA”), wrongful termination, and breach of contract in connection with her purported wrongful termination by Respondent Invesco after she requested FMLA leave. [read post]
