Search for: "Finra"
Results 8121 - 8140
of 18,154
Sort by Relevance
|
Sort by Date
26 Jun 2018, 6:48 am
In May 2018, FINRA sanctioned Hoetmer following allegations that he failed to amend his Form U4. [read post]
26 Jun 2018, 6:46 am
Signator Investors can be sued in the FINRA arbitration forum on a contingency fee basis to recover investment losses suffered with David and Sandra Ferwerda. [read post]
26 Jun 2018, 6:43 am
This is according to her FINRA online BrokerCheck report. [read post]
26 Jun 2018, 6:42 am
He was terminated from his position at Advanced Equities following allegations he violated FINRA rules in 2006, and he was also accused of making margin calls and executing unauthorized transactions. [read post]
26 Jun 2018, 6:41 am
This is according to his public, online FINRA BrokerCheck report. [read post]
26 Jun 2018, 4:56 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visithttp://www.whitesecuritieslaw.com. [read post]
26 Jun 2018, 4:37 am
Pour into one big regulatory glass and garnish with a compliance nightmare.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 ... [read post]
25 Jun 2018, 8:23 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
25 Jun 2018, 8:19 am
Similarly, excessive trading involves just the first two elements under FINRA’s suitability rule, but not the third element. [read post]
25 Jun 2018, 8:16 am
Federal securities laws and the FINRA rules require firms to monitor and supervise its employees, like Ferwerda, in order to detect and prevent brokers from offering investments in this fashion. [read post]
25 Jun 2018, 6:49 am
Wall Street watchdog accused of age discrimination (New York Post by Kevin Dugan)https://nyp.st/2tsw9pyThe New York Post article asserts in part that:The Financial Industry Regulatory Authority ousted roughly 20 senior employees after it lost a lucrative contract with the New York Stock Exchange, according to a lawsuit filed by one of the employees.Brian McIntyre, a former analyst at FINRA, claimed in court papers that each of the employees pushed out was over 40 years old.McIntyre, who had… [read post]
25 Jun 2018, 6:14 am
In today's featured FINRA public customer arbitration against both UBS and Morgan Stanley, we have some curious facts and allegations. [read post]
24 Jun 2018, 8:15 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Hector May (May), formerly associated with Securities America, Inc. [read post]
24 Jun 2018, 6:07 am
Claims may be brought in securities arbitration before FINRA. [read post]
23 Jun 2018, 6:33 pm
The federal securities laws and the FINRA rules require firms to monitor and supervise its employees in order to detect and prevent brokers from offering investments in this fashion. [read post]
22 Jun 2018, 6:56 pm
In addition, Travis has been subject to a regulatory action by The Financial Industry Regulatory Authority (FINRA) in which FINRA sanctioned Travis for various violations of the securities laws. [read post]
22 Jun 2018, 6:52 pm
The Financial Industry Regulatory Authority (FINRA) mandates brokers to recommend suitable investments for the customer. [read post]
22 Jun 2018, 3:10 pm
The indictment came following an investigation conducted by the Federal Bureau of Investigation (FBI) with assistance from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and other agencies. [read post]
22 Jun 2018, 2:31 pm
Merrill Lynch Pierce, Fenner and Smith Incorporated is a FINRA registered brokerage firm and investment advisor with 1559 total disclosures according to (CRD #7691) records on BrokerCheck. [read post]
22 Jun 2018, 2:31 pm
Merrill Lynch Pierce, Fenner and Smith Incorporated is a FINRA registered brokerage firm and investment advisor with 1559 total disclosures according to (CRD #7691) records on BrokerCheck. [read post]
