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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]
15 May 2018, 6:59 am
He has one criminal disposition against him, and an employment separation after allegations, according to his FINRA BrokerCheck report, online. [read post]
15 May 2018, 6:58 am
Specifically, FINRA found it charged more than $27,000 in excessive commissions on 421 transactions. [read post]
15 May 2018, 5:21 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, A... [read post]
14 May 2018, 1:49 pm
Based on FINRA’s BrokerCheck report on Polese, a complaint was filed on January 31, 2018 alleging that Polese provided misleading information to investor clients during his employment at Morgan Stanley Smith Barney. [read post]
14 May 2018, 1:22 pm
Based on FINRA’s BrokerCheck report on Valdini, a FINRA complaint was filed on January 22, 2016 alleging that Valdini provided misleading information to investor clients during his employment at Worden Capital Management LLC. [read post]
14 May 2018, 10:59 am
For FINRA’s full findings see FINRA case # 2017056500901. [read post]
14 May 2018, 10:16 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Westport Capital Markets broker Emil Skyba violated securities laws. [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:09 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
14 May 2018, 6:57 am
Allegedly, Vaccarelli asked one customer to sign an agreement that she would not provide certain information to FINRA or the SEC. [read post]
12 May 2018, 12:04 pm
Anyway, so . . . we got this FINRA arbitration in which a customer is seeking some $108,000 in losses and hired a lawyer but then his lawyer withdrew and ... [read post]
12 May 2018, 12:03 pm
It seems that each week there are increasing numbers of arbitrations filed with FINRA seeking expungement of various matters from a registered rep's industry record. [read post]
11 May 2018, 1:47 pm
Based on FINRA’s BrokerCheck report on Joseph Krueger II, a FINRA regulatory action was filed on December 4, 2017 alleging that Krueger II provided misleading information to investor clients from Stifel, Nicolaus, & Company during his employment at Stifel, Nicolaus, & Company, Inc. regarding a startup App company while simultaneously engaging in the selling of outside securities, which were used to finance startup costs associated with the App company. [read post]
11 May 2018, 8:28 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
11 May 2018, 8:08 am
(FINRA Case #2018057246701) Jimmy Oswald Moscoso (CRD #2912265, Boca Raton, Florida) – An AWC (Accept,Waiver & Consent) was issued in which Moscoso was barred from association with any FINRA member in all capacities. [read post]
11 May 2018, 8:08 am
(FINRA Case #2018057246701) Jimmy Oswald Moscoso (CRD #2912265, Boca Raton, Florida) – An AWC (Accept,Waiver & Consent) was issued in which Moscoso was barred from association with any FINRA member in all capacities. [read post]
11 May 2018, 5:15 am
FINRA Broker Disciplinary Action Report April 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
10 May 2018, 11:10 am
FINRA reportedly requested that Knee appear for on-the-record testimony in connection with an ongoing FINRA investigation. [read post]
