Search for: "FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC."
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24 Apr 2012, 11:46 am
The rule was proposed by the Financial Industry Regulatory Agency, Inc. [read post]
20 Dec 2013, 6:57 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Deutsche Bank Securities, Inc. $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program. [read post]
25 Apr 2012, 8:25 am
According to reports, on April 13, Cambridge Legacy Securities LLC filed its broker-dealer withdrawal request with the Financial Industry Regulatory Authority Inc. [read post]
20 Jan 2017, 10:16 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Bryon Martinsen (Martinsen) currently associated with Centaurus Financial, Inc. [read post]
14 Oct 2017, 12:12 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) Capin has been accused by customers of unsuitable investment advice, misrepresentations, and excessive trading among other claims. [read post]
29 Dec 2018, 7:44 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaint against Bracy concerns allegations of unsuitable investments in Future Income Payments, Inc. [read post]
20 Jan 2017, 10:18 am
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Donnie Ingram (Ingram) currently associated with Centaurus Financial, Inc. [read post]
9 Sep 2018, 7:14 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Stacy Cheney-Jamison (Cheney-Jamison), a/k/a Stacy Cheney, Stacy Edwards, Stacy Kuczynski, and Stacy Sang was formerly associated with CUNA Brokerage Services, Inc. [read post]
30 Nov 2016, 3:07 pm
Our investment attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Raymond Harrison (Harrison) currently associated with Cambridge Investment Research, Inc. [read post]
15 May 2018, 9:12 am
FINRA Sanctions Fifth Third Securities Inc., $4 Million Fine According to The Financial Industry Regulatory Authority (FINRA), the regulator has fined Fifth Third Securities Inc. $4 million and required the firm to pay approximately $2 million in restitution to customers for variable annuity exchange violations. [read post]
9 May 2018, 9:12 am
FINRA Sanctions Fifth Third Securities Inc., $4 Million Fine According to The Financial Industry Regulatory Authority (FINRA), the regulator has fined Fifth Third Securities Inc. $4 million and required the firm to pay approximately $2 million in restitution to customers for variable annuity exchange violations. [read post]
31 May 2016, 5:38 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Christopher Tolmacs (Tolmacs) working out of Portage, Michigan alleging that the broker borrowed client funds. [read post]
11 Jan 2012, 3:23 pm
A Financial Industry Regulatory Authority arbitration panel has ordered Oppenheimer & Co. to repurchase the $5.98 million in New Jersey Turnpike ARS that it sold Nicole Davi Perry in 2007. [read post]
12 Aug 2009, 4:51 pm
UBS Financial Services Inc. has agreed to be fined $100,000 and Merrill Lynch, Pierce, Fenner & Smith Inc. has consented to a $150,000 fine, says the Financial Industry Regulatory Authority, for alleged supervisory failures that resulted in the inappropriate short-term sales of closed-end funds that were bought at initial public offerings for the funds. [read post]
30 Apr 2021, 7:27 am
Morgan Stanley Broker Jacob “Cobby” Shapira allegedly Shorted Amazon Stock According to Financial Advisor IQ this week, a Financial Industry Regulatory Authority arbitration panel has ordered Morgan Stanley and financial advisor Jacob Shapira to pay close to $800,000 over alleged over-concentration and churning in short positions. [read post]
14 Apr 2015, 6:46 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Tedeschi (Tedeschi) has been the subject of at least 6 customer complaints, one judgment and lien over the course of his career. [read post]
11 Nov 2014, 6:02 am
(Legend) on behalf of a customer with the Financial Industry Regulatory Authority (“FINRA”) alleging that Legend and Legend broker, Michael Guilfoyle, recommended unsuitable investments while churning his account and executing unauthorized trades in violation of FINRA rules and other applicable law. [read post]
10 Oct 2018, 10:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Valenzuela concern excessive trading of unit investment trust (UITs) securities. [read post]
4 Feb 2017, 8:27 am
Our securities fraud attorneys are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against Wendy Feldman (Feldman) currently associated with H. [read post]
23 Jul 2016, 4:07 am
The securities lawyers of Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Thomas Schober (Schober). [read post]
