Search for: "Financial Industry Regulatory Authority"
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1 Oct 2013, 3:04 pm
The Financial Industry Regulatory Authority has even posted warnings on its website about the dangers of REIT investing, yet many investors are never made aware of these risks by their brokers. [read post]
1 Oct 2013, 7:30 am
Call those add-on charges to customers what you will, if it stinks like a commission, you may find yourself in hot water.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 adjudication of any issue, Columbus Advisory Group, Ltd. [read post]
1 Oct 2013, 3:25 am
For starters, there was this roadwork involving a change-of-address request and an unseen detour.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 adjudication of any issue, Jeffrey Brian Mackevich submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA… [read post]
1 Oct 2013, 2:58 am
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 adjudication of any issue, Thomas Q. [read post]
30 Sep 2013, 12:28 pm
Diego Fernando Hernandez (Hernandez) was recently barred from the financial industry by the Financial Industry Regulatory Authority (FINRA) concerning allegations that he failed to disclose outside business activities, a practice known in the industry as “selling away” and misused customer funds. [read post]
30 Sep 2013, 7:49 am
In today's case, we see what happens when public customers don't abide by the discovery rules.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statem... [read post]
30 Sep 2013, 7:40 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2005 and as amended thereafter in October 2012, Claimant Farah asserted fraud by misrepresentation and omission; negligent misrepresentation; and interference with business and contractual relationships; and failure to indemnify. [read post]
30 Sep 2013, 7:28 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012, Claimant DiMercurio asserted failure to supervise; unauthorized trading; and lack of due diligence and/or churning in connection with her contentions that Respondent Stifel, Nicolaus & Company, Inc. had failed to supervise its financial advisor Harrison. [read post]
30 Sep 2013, 7:20 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Master Statement of Claim filed in November 2011 and in the Subordinated Statement of Claim filed in July 2012, Claimants asserted breach of fiduciary duty; unsuitable investments; churning and excessive trading; failure to supervise; and gross negl... [read post]
29 Sep 2013, 6:11 pm
Robert Gist (Gist) was recently fined $5.4 million by the Securities and Exchange Commission (SEC) and barred from association with any broker-dealer by the Financial Industry Regulatory Authority (FINRA). [read post]
28 Sep 2013, 6:08 am
Frazier (Frazier) was recently barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) over allegations that Frazier made fraudulent statements in the sales of variable annuities. [read post]
27 Sep 2013, 12:43 pm
We’ll just remind you that the Financial Industry Regulatory Authority warned broker-dealers back in 2010 that reverse convertibles aren’t suitable for most individuals, and that brokers should only offer these investments to a very select group of investors and only in conjunction with full and fair disclosure. [read post]
27 Sep 2013, 11:16 am
Securities industry experience also a plus. [read post]
27 Sep 2013, 2:59 am
Call those add-on charges to customers what you will, if it stinks like a commission, you may find yourself in hot water.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 adjudication of any issue, Columbus Advisory Group, Ltd. [read post]
26 Sep 2013, 9:35 am
And it “provides for the general welfare of tourists and visitors, promotes the tourism industry, and ensures that tour guides have a minimal level of competence and knowledge. [read post]
25 Sep 2013, 4:57 am
The Financial Industry Regulatory Authority (FINRA) recently released a report detailing the American public’s susceptibility to financial fraud. [read post]
24 Sep 2013, 4:33 pm
According to complaint #2010024623501, the Financial Industry Regulatory Authority (FINRA) alleges that registered broker Jeremy G. [read post]
23 Sep 2013, 3:03 pm
Conrad Tambalo Bautista (Bautista) resolved charges brought by the Financial Industry Regulatory Authority (FINRA) concerning the sale of private securities and possible involvement in a fraudulent investment scheme by accepting a bar from the securities industry. [read post]
23 Sep 2013, 12:21 pm
The Financial Industry Regulatory Authority (FINRA), VSR Financial Services, Inc. [read post]
23 Sep 2013, 4:15 am
After allegedly submitting improper reimbursement requests for golf fees and groceries, a manager was hit with a costly number of penalty strokes.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 adjudication of any issue, Francis R. [read post]
