Search for: "Financial Industry Regulatory Authority"
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20 Jun 2023, 3:26 am
The Financial Industry Regulatory Authority this week underscored the importance of taking careful client notes when it sidelined a broker who allegedly misstated details of customer calls. [read post]
19 Sep 2015, 9:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Raymond DeRobbio (DeRobbio) has been the subject of seven customer complaints and one regulatory action. [read post]
28 May 2010, 1:15 pm
The Investment Industry Regulatory Organization of Canada (IIROC) today proposed a new rule intended to "clearly articulate that any personal financial dealing with clients, subject to limited exemptions, is considered inappropriate conduct, a conflict of interest and a violation of the general business conduct standards. [read post]
13 Sep 2015, 6:32 am
The Financial Industry Regulatory Authority (FINRA) barred (Case No. 20150443048) broker Thomas Hogle (Hogle) after the broker failed to respond to a letter from the regulator requesting information. [read post]
28 Oct 2020, 6:45 am
Florida Financial Advisor is Named in at Least 10 FINRA Cases, Including One $25 Million Claim If you suffered losses while working with UBS Financial Services (UBS) stockbroker, Jose Manuel Cornide, Jr., you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim for your losses. [read post]
24 Feb 2012, 2:44 pm
” According to the Financial Industry Regulatory Authority (FINRA) CRD, Aaron Donald Vallett was registered with FINRA member firms from December 2001 until June of 2010. [read post]
16 May 2014, 5:08 pm
A broker is regulated by The Financial Industry Regulatory Authority (FINRA) a self-regulatory organization (SRO) as provided for under the Securities and Exchange Act of 1934. [read post]
20 Jun 2020, 1:50 am
Financial Industry Regulatory Authority, Appellee (Judgment, DCCir)Securities and Exchange Commission and Justice Department’s Antitrust Division Sign Historic Memorandum of Understanding (SEC Release)Justice Department’s Antitrust Division And The Securities And Exchange Commission Sign Historic Memorandum Of Understanding (DOJ Release)Modernizing U.S. [read post]
20 Mar 2012, 6:23 am
The Financial Industry Regulatory Authority (FINRA) has fined Citi International Financial Services, LLC ("Citi"), a subsidiary of Citigroup, Inc., $600,000 and ordered it to pay $648,000 in restitution for excessive markups and markdowns charged to customers on bond transactions. [read post]
21 Aug 2013, 2:32 am
On the other hand, as a recent regulatory settlement shows, what you call an additional charge may make all the difference in the world.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, K.C. [read post]
18 Oct 2014, 4:18 am
On September 19, 2014, the Financial Industry Regulatory Authority (“FINRA”) announced that its Board of Governors (the “Board”) approved a series of regulatory initiatives primarily focused on equity and fixed income market structure issues. [read post]
21 Feb 2020, 1:29 am
See what you think.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, Thomas M. [read post]
22 May 2010, 3:55 pm
The Financial Industry Regulatory Authority says that Deutsche Bank Securities and National Financial Services LLC have consented to be fined $925,000 in total for supervisory violations, as well as Regulation SHO short sale restrictions violations. [read post]
29 Jul 2016, 8:51 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
14 Nov 2018, 1:35 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stephen Murray (Murray) has been subject to seven customer complaints, two financial disclosures or tax liens, and one regulatory action. [read post]
13 May 2024, 10:00 pm
Learn about the 2000+ leading attorney authors contributing to our 26 practice areas in the Practical Guidance Author Center . [read post]
12 Dec 2018, 7:00 am
At some point in their careers, many financial professionals will find themselves in the receiving end of a subpoena from Securities and Exchange Commission, “SEC” or a Financial Industry National Regulatory Authority “FINRA” 8210 Request. [read post]
12 Feb 2010, 8:58 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in January 2010: Robert Lee Mandeville, formerly with Securian Financial Services in Newport Beach, California, and Morgan Stanley in Laguna Woods, California, was fined $35,000 and suspended from association with any FINRA member in any capacity for five months for… [read post]
9 Aug 2019, 11:47 am
In the Matter of Seven Points Capital, LLC, Respondent (FINRA AWC 2015043490102) http://www.finra.org/sites/default/files/fda_documents/2015043490102%20Seven%20Points%20Capital%2C%20LLC%20CRD%20144211%20AWC%20va.pdfFor 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… [read post]
4 Jan 2019, 6:58 am
.%20Carvallo%20CRD%204520352%20AWC%20va.pdfFor 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, Jaime E. [read post]
