Search for: "Financial Industry Regulatory Authority"
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5 Jun 2014, 10:50 am
Sadly, the FINRA Arbitration Decision doesn't offer us much in the way of underlying facts, but it does pose an edgy issue about whether a customer is in charge of the account and what ramifications such a circumstance presents.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, in connection with a dispute concerning a variable annuity policy, public customer Claimant Pritsker… [read post]
5 Jun 2014, 10:49 am
It coulda been so much more.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 7, 2012, and thereafter amended in March 2012, Claimant Meckenstock asserted causes of action including breach of contract, defamation, libel, slander, and fraud. [read post]
5 Jun 2014, 8:50 am
The Financial Industry Regulatory Authority (FINRA) recently barred Ameriprise Financial Services (Ameriprise) broker Jeffrey Davis (Davis) concerning allegations that the broker committed securities fraud by converting client funds. [read post]
4 Jun 2014, 5:41 am
On March 10, 2014, Larry Steven Werbel submitted a Letter of Acceptance, agreeing to accept the sanctions handed down by the Financial Industry Regulatory Authority (FINRA) for alleged violations relating to the sale of penny stocks during his tenure at LPL Financial, LLC. [read post]
4 Jun 2014, 5:32 am
Today's BrokeAndBroker Blog puts Wall Street's dirty laundry on display for all to see.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, Gregg M. [read post]
4 Jun 2014, 4:34 am
” Over the last several months, not only has the SEC been more involved generally with cyber “thinking” and security issues, but also the Office of Compliance, Inspections and Examinations of the SEC (governing investment advisors and asset managers), and the Financial Industry Regulatory Authority (FINRA) are all in the game.[6] So is the Federal Trade Commission, as well as state regulators, such as, the New York State Department of… [read post]
2 Jun 2014, 2:32 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
2 Jun 2014, 6:23 am
The law offices of Gana LLP filed a complaint with the Financial Industry Regulatory Authority (FINRA) on behalf of four investors against First Allied Securities, Inc. [read post]
2 Jun 2014, 2:59 am
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, Sean M. [read post]
31 May 2014, 9:07 am
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
30 May 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined LPL Financial LLC $950,000 for supervisory deficiencies related to the sales of alternative investment products, including non-traded real estate investment trusts (REITs), oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through investments. [read post]
30 May 2014, 5:54 am
Similarly, firms and households can buy financial services anywhere in the world, skirting the efforts of regulators in Canada to control risk. [read post]
30 May 2014, 5:54 am
The Financial Industry Regulatory Authority (FINRA) recently barred broker Robert Acri (Acri) concerning allegations that in December 2013, and January 2014, Acri failed to fully respond to a Rule 8210 request for documents and information concerning Acri’s sale of alternative investments and promissory notes. [read post]
29 May 2014, 2:56 pm
According to the Financial Industry Regulatory Authority (FINRA), former Arizona broker, Timothy Damien Moran, has been barred from association with any FINRA member in any capacity and ordered to disgorge $200,000 of ill-gotten gains. [read post]
29 May 2014, 10:26 am
The Financial Industry Regulatory Authority (FINRA) has permanently barred Jeffrey Dean Schrader from working in the securities industry in connection with securities sold in an alleged ponzi scheme. [read post]
29 May 2014, 6:44 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Ameriprise Financial Services (Ameriprise) broker Michael Hainsworth (Hainsworth) concerning allegations that the broker made certain misrepresentations and unbalanced statements in the sale of non-traded real estate investment trusts (REITs) by sending emails to potential investors that failed to provide a sound basis for evaluating the facts. [read post]
29 May 2014, 6:34 am
” [3] While the investment bankers involved in the cases inevitably escaped court-imposed sanctions, because they were not defendants, they also escaped sanctions from the Financial Industry Regulatory Authority (FINRA), the regulator primarily responsible for overseeing their conduct. [read post]
29 May 2014, 4:08 am
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, James Paul Kimmel Sr. submitted a Letter of Acceptan... [read post]
28 May 2014, 1:47 pm
Earlier this month, the Securities and Exchange Commission (SEC) approved a change to Financial Industry Regulatory Authority (FINRA) Rule 5210. [read post]
28 May 2014, 12:05 pm
Stamer has more than 24 years experience advising health plan and employee benefit, insurance, financial services, employer and health industry clients about these and other matters. [read post]
