Search for: "Financial Industry Regulatory Authority"
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7 Dec 2021, 9:21 am
Ex-El Paso Financial Advisor Allegedly Took Over $61K From Client Credit Line On November 29, 2021, the Financial Industry Regulatory Authority (FINRA) barred Jesus Rodriguez. [read post]
13 Feb 2024, 10:47 am
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority (FINRA), the securities regulator has barred Brett Hartvigson (CRD#: 226308) from associating with any FINRA member in any capacity, as of February 4, 2024. [read post]
5 Nov 2015, 9:31 am
Every year in the first quarter, the Financial Industry Regulatory Authority publishes an annual letter about its regulatory and examination priorities to highlight emerging and existing risks that could affect investors and the integrity of the financial markets.On Thursday FINRA Chairman and CEO Richard Ketchum offered a preview of the 2016 letter at the SIFMA/AICPA Financial Management Society Annual Conference held in New York… [read post]
28 May 2017, 9:30 pm
Some of the problems that plague the financial services industry in its current, human-based form are likely to persist in dealings with robo-advisors. [read post]
27 Jul 2016, 2:34 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
15 Jun 2021, 6:25 pm
Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA), and the Financial Industry Regulatory Authority (FINRA) today announced a new resource…Read the Full Press ReleaseHave a securities law question? [read post]
17 Feb 2021, 2:01 pm
Steven Luftschein (Steven Robert Luftschein CRD# 2690117) was recently barred from acting as a broker by the Financial Industry Regulatory Authority (FINRA) following an investigation into allegations that Luftschein violated federal securities laws. [read post]
13 Jun 2017, 2:18 pm
Gana LLP’s investment fraud attorneys are looking into multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Rodger James Burskey (Burskey) that led to a regulatory action by FINRA. [read post]
5 Aug 2021, 8:09 am
FINRA Reportedly Bars Broker Eugene McAdams after Allegations of Unsuitable Investment Recommendations According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor EUGENE ARTHUR MCADAMS (CRD#: 419021) after he reportedly refused to provide on-the-record testimony requested by FINRA in connection with its investigation into the alleged suitability of his recommended securities transactions in… [read post]
31 Dec 2009, 2:05 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in December 2009: Dean Jay Addinanti formerly of Wells Fargo Advisors, LLC and A.G. [read post]
15 Jun 2012, 5:39 am
Sales of structured products have landed Merrill Lynch in hot water with the Financial Industry Regulatory Authority (FINRA), with Merrill agreeing to pay a $450,000 fine. [read post]
5 Sep 2015, 6:23 am
Per his BrokerCheck Report, maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
18 May 2022, 8:22 am
Independent Broker-Dealer Had Partnered With Emerson Equity to Sell Risky Junk Bonds Our experienced GWG Holdings L Bonds attorneys represent another investor in Financial Industry Regulatory Authority (FINRA) arbitration against Centaurus Financial. [read post]
5 Aug 2022, 7:00 am
Former New Port Richey, FL broker is also accused of selling away Francis Joseph Velten, most recently an Ameriprise Financial Services broker, is now barred by the Financial Industry Regulatory Authority (FINRA). [read post]
18 May 2021, 8:58 am
Japanese Investor’s Savings Were Overconcentrated in Offshore CD An investor who lives in Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Unionbanc Investment Services and its California-based broker, Asako Kanekiyo Thompson. [read post]
17 Nov 2017, 10:12 am
Hoffmann for Reportedly Refusing to Testify According to the Financial Industry Regulatory Authority, Robert H. [read post]
10 Aug 2020, 4:00 am
Robert Frank Spiegel of Staten Island, New York submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was fined and suspended for allegedly engaging in excessive and unsuitable trading in violation of FINRA Rules 2111 and 2010. [read post]
22 Feb 2017, 5:12 am
And few industries are more susceptible to breaches of consumer privacy than the financial community. [read post]
19 Feb 2015, 9:13 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned broker Tory Duggins (Duggins) concerning allegations that between November 2011 through May 2012, Duggins exercised discretionary power in two customer accounts by making 17 transactions without obtaining prior written authorization from the customers. [read post]
12 Sep 2024, 7:39 am
On 12 September 2024, the Financial Conduct Authority (FCA) published Consultation Paper CP24/19 on Consumer Credit Regulatory Returns: Credit Broking, Debt Adjusting, Debt Counselling and Providing Credit Information Services (CP24/19). [read post]
