Search for: "Financial Industry Regulatory Authority"
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22 Sep 2016, 7:04 am
The investment fraud lawyers of Gana LLP are investigating the employment termination filed with The Financial Industry Regulatory Authority (FINRA) by Woodbury Financial Services, Inc. [read post]
17 Jul 2007, 3:12 pm
Originally named SIRA, (Securities Industry Regulatory Authority) the acronym apparently sounds similar to an Arabic word referring to the biographies of the Prophet Muhammad and could be considered offensive to some people.The new name, Financial Industry Regulatory Authority, or FINRA was just announced. [read post]
17 Jul 2023, 10:00 pm
Consumer Regulatory Law Gain a complete understanding of the regulatory framework for financial institutions and entities that provide consumer financial services. [read post]
26 Jun 2014, 5:30 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Carolina Financial Securities, LLC (Carolina Financial) concerning allegations that the firm failed to conduct proper due diligence on private placements sold by the firm. [read post]
19 Jul 2021, 8:00 am
On the heels of the Financial Industry Regulatory Authority’s (“FINRA”) record-breaking financial penalty against app-based investing platform Robinhood, it’s a fitting time to consider recent trends within FINRA’s industry-wide arbitration process. [read post]
23 May 2019, 7:37 am
Regulations Are Mute Concerning Client Bequests to BrokersAfter a Maryland financial advisor inherited $500,000 from an elderly client, lawmakers have asked the governing body of the securities industry, the Financial Industry Regulatory Authority (FINRA), to provide guidance over whether and how brokers can inherit wealth from customers, especially senior investors.Led by Nevada Senator Catherine Cortez Masto, the lawmakers sent a letter to… [read post]
25 Apr 2018, 9:07 am
Louis, has been appointed to a four-year term on the National Adjudicatory Council (NAC) of the Financial Industry Regulatory Authority (FINRA). [read post]
8 Oct 2007, 5:34 pm
The National Association of Securities Dealers (NASD) recently absorbed the regulatory unit of the New York Stock Exchange (NYSE) and changed its name to the Financial Industry Regulatory Authority (FINRA). [read post]
17 Jan 2018, 10:05 am
Kerby of Edward Jones According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred Matthew D. [read post]
19 Jun 2018, 8:41 am
FINRA Bars Dennis Farrah for Allegedly Selling Away According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Dennis Farrah from the securities industry. [read post]
26 Mar 2021, 12:36 pm
Jeffrey Fladell Reportedly Suspended for Allegations of Unsuitable Recommendations involving 100 year old Customer According to the Financial Industry Regulatory Authority (FINRA) on March 25, 2021, the regulator has reportedly suspended financial advisor Jeffrey Fladell (CRD #209278) from the securities industry after allegations that he made unsuitable recommendations to a 100 year old customer. [read post]
29 Mar 2023, 11:20 am
Financial Industry Regulatory Authority – Letter of Acceptance Waiver and Consent A FINRA Letter of Acceptance, Waiver, and Consent (FINRA AWC) is a type of settlement agreement that is issued by the Financial Industry Regulatory Authority (FINRA) to resolve a regulatory investigation or disciplinary proceeding. [read post]
25 Mar 2011, 6:39 am
The Financial Industry Regulatory Authority (FINRA) has ordered Southwest Securities to pay $500,000 to resolve claims involving violations of Municipal Securities Rulemaking Board rules and using paid consultants to solicit business. [read post]
13 Dec 2017, 8:04 am
Next Financial Group– New Procedures but Misconduct Reportedly Continues According to the Financial Industry Regulatory Authority (FINRA) on Tuesday, the regulator has fined Next Financial Group Inc. [read post]
31 May 2021, 7:38 am
New York Financial Adviser Has Multiple Customer Disputes on Record The Financial Industry Regulatory Authority (FINRA) has suspended ex-MML Investors Services LLC broker Adam Gerard Belardino. [read post]
12 Apr 2015, 1:46 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Barry Hartman (Hartman) was terminated by the firm due to alleged violation of firm policies including the participation in undisclosed outside business activities and private securities transactions, known as “selling away” in the industry. [read post]
1 May 2015, 1:38 pm
The Financial Industry Regulatory Authority (FINRA) accepted on April 27, 2015 a Letter of Acceptance, Waiver and Consent No. 2013037694701 (AWC) from Stuart Conley, a former broker of UBS Financial Services Inc. and Further Lane Securities, L.P. for placing discretionary trades in 21 separate accounts. [read post]
12 Oct 2015, 7:01 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Lipscomb (Lipscomb) has been the subject of at least four customer complaints and two criminal matters over the course of his career. [read post]
4 Apr 2016, 10:27 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker William Utanski (Utanski). [read post]
10 Jun 2023, 5:01 pm
The Financial Industry Regulatory Authority Inc. said Friday it had fined a small broker-dealer, Laidlaw & Co. [read post]
