Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
Results 741 - 760
of 3,187
Sorted by Relevance
|
Sort by Date
12 Aug 2021, 5:42 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Thomas Stratton from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
25 May 2012, 8:42 am
In January 2011, Nicole Cannava filed a Statement of Claim with the Financial Industry Regulatory Authority (FINRA) seeking $68,117 in compensatory damages plus interest, attorneys' fees, costs, and expungement of her Central Registration Depository (CRD) as a result of alleged libel on her Form U5 and for wrongful termination. [read post]
8 Jun 2021, 1:45 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Ricardo Turlan from the securities industry for two months. [read post]
4 May 2019, 11:45 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Augusta’s customer complaints allege that Augusta sold his clients a variety of improper products including Puerto Rico municipal bonds, interest rate swap CDs (structured CDs), and other unsuitable debt securities. [read post]
20 Sep 2021, 6:58 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Stewart’s customer complaints allege that Stewart recommended unsuitable investments in illiquid alternative investments – a high risk investment category. [read post]
21 Jan 2019, 10:54 am
Temple was reportedly barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in October 2018 after alleged bank fraud charges came to light. [read post]
28 Jan 2016, 2:56 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Johnathan McHale (McHale). [read post]
8 Feb 2017, 6:39 am
The investment attorneys of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Fischer (Fischer) currently associated with IMS Securities, Inc. alleging negligence, misrepresentation, and unsuitable investments among other claims. [read post]
8 Feb 2017, 6:39 am
The investment attorneys of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Charles Fischer (Fischer) currently associated with IMS Securities, Inc. alleging negligence, misrepresentation, and unsuitable investments among other claims. [read post]
25 Aug 2011, 9:10 am
The Financial Industry Regulatory Authority (andquot;FINRAandquot;), Office of Dispute Resolution, (formerly NASD Dispute Resolution, Inc.) reports that as of 2003, of the 663,000 registered representatives in the country in 2003, only 2,751 or 0.41 % have been the subject of three or more customer initiated investment related complaints or arbitrations. [read post]
26 May 2015, 11:32 am
On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules. [read post]
25 Sep 2017, 7:41 am
FINRA Bars Dale Krueger for Alleged Collectible Medal Investment Scheme According to the Financial Industry Regulatory Authority, Dale Krueger has been barred from the securities industry. [read post]
8 Jun 2015, 8:42 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Christopher Veale (Veale) has been the subject of at least 12 customer complaints, six judgment and lien of over $1,000,000 and five separate regulatory actions, two investigations by state regulators and one criminal matter involving a felony over the course of his career. [read post]
7 Nov 2018, 6:25 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Polyakov (Polyakov) has been subject to three customer complaints and eight financial disclosures. [read post]
20 Feb 2020, 7:54 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Godin’s customer complaints alleges that Godin recommended unsuitable investments in various investments such as promissory notes, managed commodities, and other investments among other allegations of misconduct relating to the handling of their accounts. [read post]
15 May 2019, 1:24 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Berg’s customer complaints allege that Berg recommended unsuitable investments and securities. [read post]
4 Feb 2014, 6:15 am
Supervisor Irving Burstein (Burstein) has settled charges brought by the Financial Industry Regulatory Authority (FINRA) by accepting a one-year bar from the securities industry. [read post]
27 Apr 2016, 11:48 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Michael Stern (Stern). [read post]
6 Oct 2018, 10:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Barber customer complaints allege that Barber made unsuitable recommendations in equity securities. [read post]
10 Feb 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) recently brought a complaint against Source Capital Group, Inc. [read post]
