Search for: "Financial Industry Regulatory Authority"
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15 Sep 2017, 6:36 am
William Garbarino Barred after Lincoln Financial fires him for allegedly false testimony According to The Financial Industry Regulatory Authority Inc. [read post]
18 Jan 2023, 9:52 pm
He was permanently barred by the Financial Industry Regulatory Authority (FINRA) a month later. [read post]
13 Dec 2022, 6:58 pm
He was permanently barred by the Financial Industry Regulatory Authority (FINRA) a month later. [read post]
29 Jan 2021, 7:55 am
FINRA Suspends Cincinnati, Ohio Financial Advisor The Financial Industry Regulatory Authority (FINRA) has suspended former Ameriprise (AMP) stockbroker, Angel W. [read post]
17 Feb 2021, 9:22 am
In January 2021, VALIC Financial Advisors, Inc. entered into a settlement with the Financial Industry Regulatory Authority (FINRA) for misconduct related to improper recommendations of variable annuities, in violation of FINRA Rules. [read post]
20 Mar 2020, 10:35 am
Kozak According to public records on the Financial Industry Regulatory Authority’s website, on March 18, 2020, the regulator reportedly suspended Kozak from associating with any FINRA member firm for two years and fined him $10,000. [read post]
10 Jan 2014, 6:04 am
(Lincoln Financial) was suspended by The Financial Industry Regulatory Authority (FINRA) over allegations that Thomas engaged in unauthorized and/or improper discretionary penny stock trading, engaged in unsuitable penny stock trading, and mismarked the trade tickets for penny stock transactions as unsolicited, when they were solicited trades. [read post]
20 Nov 2020, 8:42 am
Financial Industry Regulatory Authority (FINRA) barred him in February. [read post]
13 Mar 2023, 8:08 pm
The month also saw AUSTRAC sign a memorandum of understanding with the UK Financial Conduct Authority in February to strengthen regulatory collaboration to tackle financial crime. 1 Treasury releases a draft legislative objective for superannuation On 20 February 2023, the Federal Treasury announced its intention to legislate an objective for the superannuation regime, which is principally implemented via the Superannuation Industry (Supervision) Act… [read post]
11 Dec 2020, 11:16 am
FINRA Sanctions Infinity Financial Services for Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 8, The Financial Industry Regulatory Authority (FINRA) has censured and fined Infinity Financial Services (CRD No. 144302) after it allegedly failed to investigate its new hires’ backgrounds. [read post]
28 Aug 2018, 8:32 am
The Financial Industry Regulatory Authority Inc. [read post]
1 Aug 2023, 6:55 pm
What To Know About Broker Selling Away Ex-American Trust Financial Advisor David Geake Is Barred Following 25 Customer Disputes The Financial Industry Regulatory Authority (FINRA) has barred former stockbroker David Geake for alleged broker misconduct. [read post]
11 Jan 2011, 3:18 pm
APS Financial Corporation (“APS”) recently entered in to a Letter of Acceptance, Waiver and Consent (“AWC”) with the Financial Industry Regulatory Authority (“FINRA”). [read post]
9 Sep 2015, 6:17 am
The Financial Industry Regulatory Authority (FINRA) barred former Cetera Advisors LLC (Cetera) broker Bruce Sabourin (Sabourin) after the broker failed to respond to a letter from the regulator requesting information. [read post]
1 Sep 2010, 7:01 am
The Financial Industry Regulatory Authority panel awarded the damages to Rex and Sherese Glendenning, a Texas couple that originally sought $1.4 million in compensatory damages. [read post]
27 Oct 2023, 10:41 am
FINRA Rules and Regulations – Common FINRA Violations The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees and regulates the behavior of firms and professionals in the financial industry in the United States. [read post]
19 Dec 2018, 11:43 am
Broker Investigation – Adam Michael Lopez – Country Capital Management According to the Financial Industry Regulatory Authority (FINRA), on December 17, 2018, the regulator has reportedly barred Adam Michael Lopez from associating with any FINRA member at any time. [read post]
4 Sep 2015, 4:48 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Kevin Ellman (Ellman) has been the subject of at least four customer complaints and one regulatory action. [read post]
27 Dec 2017, 7:25 am
FINRA Sanctions Raymond James for Supervisory Issues According to the Financial Industry Regulatory Authority, the regulator has fined Raymond James Financial Services $2 million for failing to maintain reasonably designed supervisory systems and procedures for reviewing e-mail communications. [read post]
2 Jun 2020, 8:45 am
Financial Advisor Jim Schwartz, Aegis Capital Corp. in Melville, NY James Schwartz Reportedly Barred after Allegations of Churning & Excessive Trading According to public records on the Financial Industry Regulatory Authority (FINRA) website, the regulator reportedly barred James Schwartz (Jim Schwartz) after he allegedly churned and excessively traded the accounts of customers of his member firm. [read post]
