Search for: "Financial Industry Regulatory Authority"
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Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
The firm is a member firm of the Financial Industry Regulatory Authority (FINRA) and Kazmi has been registered with the firm since January 5, 2010. [read post]
14 Dec 2010, 10:43 am
andnbsp; The regulators, or self-regulatory authority, now known as the Financial Industry Regulatory Authority, or FINRA, of which Morgan Stanley is a member, based upon this conduct, andquot;censuredandquot; Winitch and suspended him for a period of five years, meaning that in five years, after falsifying new account documents, and basically stealing from the accounts of disabled children, Winitch is free to be a stockbroker and a fiduciary… [read post]
Broker Farrukh Kazmi Faces Allegations of Unsuitable Investment Recommendation and Misrepresentation
1 Apr 2021, 7:35 am
The firm is a member firm of the Financial Industry Regulatory Authority (FINRA) and Kazmi has been registered with the firm since January 5, 2010. [read post]
7 May 2009, 2:17 pm
Schapiro, previously the chief executive of the private-sector Financial Industry Regulatory Authority, says the shackles are now off and that the proof will be in the results. [read post]
30 Jul 2020, 7:41 am
He had been in the industry since 2009. [read post]
2 Nov 2023, 11:58 am
FINRA (Financial Industry Regulatory Authority) is a self-regulatory organization that oversees the securities industry in the United States. [read post]
9 Feb 2010, 12:44 pm
The award was made on Dec. 23 and was posted recently on a website maintained by the Financial Industry Regulatory Authority. [read post]
5 Jul 2019, 7:36 am
With sixteen years in the securities industry beginning in 1989, Rinfret was previously a registered broker with 16 financial firms, including Seaboard Securities, Inc., which was expelled by the Financial Industry Regulatory Authority (FINRA) in 2011, Bear Stearns & Co., Prudential-Bach Securities, Rinfret Securities, Baird, Patrick, & Co,., and several others. [read post]
30 Jun 2018, 12:48 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Gary Forrest (Forrest) appears to be an agent for Woodbridge fraudulent note sales. [read post]
4 Oct 2022, 7:00 am
Scott has vast experience representing investors in arbitration before FINRA (Financial Industry Regulatory Authority), AAA (American Arbitration Association), and NFA (National Futures Association). [read post]
Reverse Convertible Notes and Similar Non-Conventional Investments are Unsuitable for Many Investors
10 Mar 2010, 9:59 am
The Financial Industry Regulatory Authority (FINRA) recently issued its first enforcement action involving the sale of reverse convertibles, in which it reminded the brokerage industry of its suitability obligations. [read post]
15 Apr 2020, 8:56 am
Securities industry rules, enforced by the Securities and Exchange Commission and the Financial Industry Regulatory Authority Inc., require that brokerages and investment advisors must make fair and balanced disclosures to clients. [read post]
10 Jun 2020, 1:22 pm
To effectuate the scheme, the complaint alleges that Spartan Securities filed fraudulent applications with Financial Industry Regulatory Authority (FINRA) to publicly list the companies’ common stock and ultimately enable the shares to become free-trading and available to public investors. [read post]
27 Jul 2018, 7:54 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) David Scholl (Scholl) appears to be an agent for Woodbridge fraudulent note sales. [read post]
21 Dec 2022, 7:37 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
17 Feb 2020, 7:29 am
In complaints filed with The Financial Industry Regulatory Authority (FINRA) our clients have alleged that GPB Capital’s scam was highly predictable and easy to spot. [read post]
27 Mar 2015, 6:28 am
We will be sharing industry’s reaction to the proposals as well as our thoughts in additional blog posts. [read post]
16 Apr 2021, 8:43 am
The firm acknowledged an inquiry in a regulatory filing last month without elaborating on the specific issues at hand. [read post]
12 May 2017, 4:54 pm
Meanwhile, the HHS alert advises U.S. health industry organizations and information systems to exercise cyber security best practices – particularly with respect to email including HHS Ransomware Guidance available here and other information on ransomware in the following HHS Cyber Newsletters: https://www.hhs.gov/sites/default/files/hippa-cyber-awareness-monthly-issue1.pdf https://www.hhs.gov/sites/default/files/hipaa-cyber-awareness-monthly-issue3.pdf… [read post]
12 May 2017, 2:39 pm
Meanwhile, the HHS alert advises U.S. health industry organizations and information systems to exercise cyber security best practices – particularly with respect to email including HHS Ransomware Guidance available here and other information on ransomware in the following HHS Cyber Newsletters: https://www.hhs.gov/sites/default/files/hippa-cyber-awareness-monthly-issue1.pdf https://www.hhs.gov/sites/default/files/hipaa-cyber-awareness-monthly-issue3.pdf… [read post]
