Search for: "Financial Industry Regulatory Authority"
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9 Jul 2018, 11:05 am
Bradley Tennison – Geneos Wealth Management – Mesa, Arizona According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Bradley Tennison from the securities industry. [read post]
15 Aug 2017, 10:06 am
Blum for Failure to Appear for Testimony According to the Financial Industry Regulatory Authority, former financial advisor Paul V. [read post]
9 Aug 2018, 2:05 pm
Securities Fraud Investigation – Bradley Reifler – Forefront Capital Markets – New York, NY According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred former financial advisor Bradley Reifler from the securities industry. [read post]
25 Apr 2014, 6:30 am
On March 24, 2014, LPL Financial LLC, the fourth largest broker dealer, measured by number of salespersons, was fined $950,000 by the Financial Industry Regulatory Authority (FINRA) for failing to supervise the way that its brokers marketed and sold nontraditional investments. [read post]
8 Feb 2018, 8:04 am
Neuner for Unauthorized Discretion According to the Financial Industry Regulatory Authority, the regulator has permanently barred Kenneth B. [read post]
13 Jan 2014, 2:37 am
In today's BrokeAndBroker Blog, we have the story of one particularly obstinate registered person -- who was previously warned about getting a client's authorization to transfer funds and didn't quite learn her lesson.For 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… [read post]
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]
15 Jun 2015, 8:01 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined LPL Financial LLC (LPL) and fined it $10 million for broad supervisory failures in a number of key areas, including the sales of non-traditional exchange-traded funds (Non-Traditional ETFs), certain variable annuity contracts, non-traded real estate investment trusts (Non-Traded REITs) and other complex products, as well as its failure to… [read post]
27 May 2022, 12:40 pm
Francis Amsler and Marc Lobarde Were the UBS Financial Brokers of Record A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a Houston, Texas, couple $3.9 million in their claim against UBS Financial Services (UBS). [read post]
13 Jun 2022, 9:14 am
More Claimants Accuse Broker Yoko Farias of Overconcentration In Obscure, Offshore Investment An older couple from Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim requesting between $500K and $1M in financial recovery over losses sustained in Northstar Financial Services (Bermuda). [read post]
5 Apr 2022, 12:18 pm
Investors’ Worked With Ex-McNally Financial Broker Michael O’Meara An older couple from Washington State has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against McNally Financial Services and its former broker Michael Charles O’Meara. [read post]
22 Jun 2020, 1:20 pm
FINRA Says SagePoint Financial Brokers Unsuitably Recommended Early UIT Rollovers The Financial Industry Regulatory Authority (FINRA) is ordering SagePoint Financial to pay over $1.6M in fines and restitution after it executed over $895 million in unit investment trust (UIT) transactions that resulted in more than $17.2 million in sales charges. [read post]
28 Apr 2021, 7:38 am
Central American Retiree Worked with Louisiana-based Financial Advisor Robin Platt In his Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., a senior investor in Central America is seeking up to $5M in damages. [read post]
24 Oct 2022, 12:15 am
AThe Financial Industry Regulatory Authority, aka FINRA, is a non-profit Delaware corporation. [read post]
31 Jul 2018, 2:13 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Joseph Pratte (Pratte), formerly associated with Signator Investors, Inc. [read post]
11 Jun 2023, 1:38 pm
The Financial Industry Regulatory Authority Inc. started an inquiry in November into whether broker and financial advisor James Iannazzo broke industry rules when he allegedly “structured cash transactions in his personal bank and brokerage accounts to avoid federal reporting requirements,” according to his BrokerCheck report. [read post]
1 Feb 2011, 7:02 am
I’ve written previously about the Financial Regulatory Authority (FINRA) proposals for allowing consumer complainants in arbitrations to use all public arbitration panels. [read post]
28 Apr 2014, 8:17 am
The Financial Industry Regulatory Authority (FINRA) recently fined Colorado Financial Service Corporation (Colorado Financial) concerning allegations that the firm violated NASD Rule 3010, and FINRA Rule 2010, among other violations, by failing to establish, maintain, and enforce supervisory procedures reasonably designed to ensure compliance with the securities rules pertaining to the supervision of electronic communications and due diligence… [read post]
27 Jul 2017, 7:13 am
Anthony Ferrone Barred for Allegations of Unsuitable trading According to reports, The Financial Industry Regulatory Authority Inc. has barred former Morgan Stanley broker Anthony Ferrone from the securities industry due to allegations he engaged in unsuitable trading of unit investment trusts in clients’ accounts. [read post]
8 Feb 2010, 2:38 pm
The Financial Industry Regulatory Authority has had to bring in hundreds of additional arbitrators to deal with the approximately 400 securities fraud claims that investors have filed against Regions Financial Corp., the investment banking unit of Morgan Keegan & Co. [read post]
