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4 Mar 2021, 9:59 am
Latin American Investor Alleges Elder Financial Fraud And Abuse In a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services, Inc. [read post]
4 Mar 2021, 9:30 am
Industry Developments SPOTLIGHT: Int [read post]
3 Mar 2021, 5:32 pm
Solutions Law Press, Inc. invites you to receive future updates by registering here and participating and contributing to the discussions in our Solutions Law Press, Inc. [read post]
2 Mar 2021, 8:54 am
For example, I have proposed a stand-alone requirement that platforms act consistently with their own content rules, enforced by a dispute resolution mechanism modeled on the arbitration system maintained by the Financial Industry Regulatory Authority for broker-dealers. [read post]
2 Mar 2021, 7:57 am
Solutions Law Press, Inc. also invites you receive future updates by registering here and participating and contributing to the discussions in our Solutions Law Press, Inc. [read post]
1 Mar 2021, 7:13 pm
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against broker Megurditch Patatian (aka Mike Patatian) alleging that, while associated with Western International Securities, Inc., Mr. [read post]
22 Feb 2021, 6:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Joseph Hain (Hain), currently employed by Noble Capital Markets, Inc. has been subject to at least two customer complaints during the course of his career. [read post]
19 Feb 2021, 7:25 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
18 Feb 2021, 9:15 am
Industry Developments SPOTLIGHT: Google’s Link to Passport Is Part of a Broader Plan to Extend Google Pay to Parking and TransitDigital Transactions News – February 17, 2021 Passport Labs Inc., a provider of transportation software, announced Wednesday it is expanding its integration with Alphabet Inc. [read post]
17 Feb 2021, 9:22 am
In January 2021, VALIC Financial Advisors, Inc. entered into a settlement with the Financial Industry Regulatory Authority (FINRA) for misconduct related to improper recommendations of variable annuities, in violation of FINRA Rules. [read post]
16 Feb 2021, 1:30 pm
Joseph Gerard Michaletz is currently registered with DAI Securities, LLC, a Financial Industry Regulatory Authority (FINRA) member firm, since April 2018. [read post]
16 Feb 2021, 1:30 pm
Joseph Gerard Michaletz is currently registered with DAI Securities, LLC, a Financial Industry Regulatory Authority (FINRA) member firm, since April 2018. [read post]
15 Feb 2021, 7:31 am
From January 2011 until May 2017 Wudemann was registered with UBS Financial Services Inc. [read post]
11 Feb 2021, 1:03 pm
About Solutions Law Press, Inc. [read post]
8 Feb 2021, 11:25 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Charles Bonilla from the securities industry for five months, fined him $5,000, and ordered him to disgorge $22,417 in commissions. [read post]
6 Feb 2021, 11:30 am
The law offices of Gana LLP recently filed a complaint before The Financial Industry Regulatory Authority (FINRA) on behalf of a investor against brokerage firm David Lerner Associates, Inc. [read post]
5 Feb 2021, 2:56 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Lisa Ann Brumm (also known as Lisa Am Brumm and Lisa Ann Moon) from the securities industry for six months and fined her $7,500. [read post]
5 Feb 2021, 11:33 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Michael Paul Francoeur from the securities industry. [read post]
4 Feb 2021, 1:08 pm
According to the Financial Industry Regulatory Authority (FINRA) on February 2, the regulator has sanctioned HSBC Securities (USA) Inc. with a censure and fine of $650,000 in connection with alleged violations of rules concerning fingerprinting. [read post]
2 Feb 2021, 2:38 pm
Triad Advisors LLC, (CRD# 25803, Atlanta, GA) a national financial advisory firm headquartered in Atlanta, GA, reportedly has 10 disclosure events on its broker record including 6 regulatory events, and 4 arbitrations, according to the Financial Industry Regulatory Authority (FINRA). [read post]
