Search for: "Financial Industry Regulatory Authority"
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28 Apr 2021, 7:37 am
FINRA Reportedly Bars Broker David Martirosian after Allegations of Unsuitable & Excessive Trading According to public records posted by The Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred broker David Martirosian (CRD #5261144) of Mineola, NY from the securities industry. [read post]
24 Feb 2012, 2:44 pm
According to the Financial Industry Regulatory Authority (FINRA) CRD, Aaron Donald Vallett was registered with FINRA member firms from December 2001 until June of 2010. [read post]
12 May 2017, 1:33 pm
Act Transitional Authority. [read post]
25 Nov 2014, 1:26 pm
According to Financial Planning, the Financial Industry Regulatory Authority barred former CUSO Financial Services broker, Patrick Richard Harrison, for allegedly participating in a private placement transaction that cost two elderly investors more than $340,000. [read post]
20 Jan 2016, 7:24 am
And then your head explodes.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, Coker & Palmer, Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
21 Sep 2018, 12:01 pm
Financial advisors who become registered with a Financial Industry Regulatory Authority (“FINRA”) member firm should be knowledgeable about Form U4, as it addresses a broad spectrum of historical events that are required to be reported to FINRA. [read post]
23 Jun 2009, 4:31 am
Attorneys for the Public Investors Arbitration Bar Association (PIABA) recently submitted a proposal to the SEC to eliminate the requirement that a securities industry arbitrator sit in on all public investor cases arbitrated before the Financial Industry Regulatory Authority (FINRA) in which the amount in controversy exceeds $100,000.00. [read post]
26 Nov 2020, 12:09 pm
July 2018 – The Financial Industry Regulatory Authority (FINRA) reportedly barred former Independent Financial Group advisor Kyusun “Kenny” Kim from working in the securities industry after he allegedly made unsuitable recommendations to numerous senior customers that they concentrate their retirement assets and liquid net worth in speculative and illiquid securities. [read post]
26 Oct 2010, 2:05 am
In its quarterly Regulatory Update, released October 21, 2010, the Bermuda Monetary Authority (“BMA”) summarizes its latest initiatives and proposals for the island’s insurance industry. [read post]
28 Jan 2021, 6:13 am
FINRA Reportedly Bars Broker Tyler Delahunt after Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Tyler Delahunt (CRD #4419594) of Atlanta, GA, from the securities industry after he reportedly failed to provide information in FINRA’s investigation into allegations of private securities transactions. [read post]
15 Jul 2021, 5:25 am
FINRA Reportedly Bars Tyler Rigsbee after Allegations of Misdirection of Client’s funds According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Tyler Rigsbee (CRD #6351278) from working in the securities industry after he allegedly failed to provide information in its investigation. [read post]
2 Oct 2020, 9:44 am
., Las Cruces, NM FINRA Reportedly Bars Robert Barnard after Allegations of Selling Away and Borrowing Client Funds According to the Financial Industry Regulatory Authority (FINRA) on September 30, the regulator has barred financial advisor Robert Barnard after he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into allegations referenced in Form U5s filed by his member firm. [read post]
26 Apr 2012, 7:06 am
The Securities and Exchange Commission ("SEC") has approved amendments to Rule 13201 of the Financial Industry Regulatory Authority ("FINRA") Code of Arbitration Procedure for Industry Disputes ("Industry Code"). [read post]
14 Jun 2010, 6:00 am
The Financial Industry Regulatory Authority (FINRA) has issued a Regulatory Notice on a proposed rule to improve oversight of broker/dealers’ back-office operations. [read post]
16 Oct 2014, 7:50 am
So . . . how would you feel if the nation's largest financial industry self-regulatory organization called a Tweet a "public appearance? [read post]
12 Jul 2021, 10:42 am
Northstar (Bermuda) Investor is Seeking Up to $500K in Damages An investor in Nagoya, Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Bancwest Investment Services after she suffered six-figure losses in Northstar Financial Services (Bermuda). [read post]
14 Feb 2023, 9:05 pm
Calls for the financial industry to solve climate change are coming from many different arenas. [read post]
11 Nov 2015, 7:03 am
The Financial Industry Regulatory Authority (FINRA) announced its approval of a rule in a press release to help brokerage firms protect seniors citizens and other vulnerable adults from financial exploitation. [read post]
10 Feb 2014, 6:01 am
Dahn (Dahn) has been barred by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he privately borrowed money from at least two customers, an act constituting securities fraud, while being a registered representative of Mutual Service Corporation (MSC) and LPL Financial LLC (LPL). [read post]
13 Feb 2012, 10:30 am
Speaking on behalf of the members of the global alternative investment community at the 10th Annual Financial Services Conference in Brussels, Managed Funds Association Chair William Goodell discussed the industry's views on a number of relevant public policy initiatives and participated in a panel discussion with Verena Ross, Executive Director of the newly formed European Securities and Markets Authority, and Markus Ferber, a Member of the European Parliament who… [read post]
