Search for: "Financial Industry Regulatory Authority"
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6 Sep 2019, 7:08 am
.%20CRD%2044337%20Darren%20Michael%20Kubiak%20CRD%201239086%20%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, Kalos Capital, Inc. and Darren Michael Kubiak submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA… [read post]
19 Dec 2018, 12:03 pm
http://www.finra.org/sites/default/files/fda_documents/2014041196601%20Morgan%20Stanley%20Smith%20Barney%20LLC%20149777%20AWC%20DM.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, Beginning in 2011, Morgan Stanley failed to develop and… [read post]
13 Aug 2022, 8:55 am
Securities and Exchange Commission, Respondent / Financial Industry Regulatory Authority, Intervenor (Opinion, DCCir)How Regulatory Sandbox Programs Can Promote Technological Innovation and Consumer Welfare / Insights from Federal and State Experience (OnPoint, Competitive Enterprise Institute by Ryan Nabil)Investment Scam Ringleader Pleads Guilty After Being Recorded Paying Cash Kickbacks at Boca Raton Starbucks (DOJ Release)Former Member of… [read post]
18 Nov 2022, 9:37 am
FINRA Bars Ed Turley after Allegations of Unsuitable Trading, Misrepresentation According to public records posted on FINRA’s website today, the Financial Industry Regulatory Authority has reportedly barred Edward “Ed” Turley (CRD#: 1872294) from associating with any FINRA member at any time. [read post]
20 Jul 2023, 10:45 am
The White Law Group reviews the regulatory history of SagePoint Financial. [read post]
17 Sep 2021, 8:27 am
Pennsylvania Financial Advisor is Accused of Making Unsuitable Recommendations Austin Richard Dutton, Jr., an American Trust Investment Services stockbroker, is currently the subject of a Financial Industry Regulatory Authority (FINRA) arbitration case. [read post]
6 Jun 2012, 3:40 pm
The Financial Services Institute (FSI) Chair, Joe Russo, recently released a letter stating that the FSI supports the Financial Industry Regulatory Authority (FINRA) as the new self-regulatory organization (SRO) for investment advisers. [read post]
15 Dec 2014, 8:01 am
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against LPL Financial LLC (LPL) broker Jon Cox (Cox) alleging that Cox may have engaged in unauthorized outside business activities, private securities transactions (a/k/a “selling away”), and/or unauthorized customer loans. [read post]
11 Aug 2015, 6:27 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned and barred broker Julius Kenney (Kenney) concerning allegations Kenney refused cooperate with requests made by FINRA in connection with an investigation into possible outside business activities. [read post]
20 Mar 2016, 7:25 am
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Ameriprise Financial Services, Inc. [read post]
5 Mar 2018, 1:35 pm
According to the Financial Industry Regulatory Authority (“FINRA”), Dillon’s FINRA BrokerCheck record shows a pending customer dispute alleging claims of unsuitable concentration in connection with the purchase of Puerto Rico municipal bonds. [read post]
11 Jun 2019, 11:57 am
Jason Nelson, an ex-LPL Financial broker (LPLA), is now barred by the Financial Industry Regulatory Authority (FINRA). [read post]
10 Apr 2018, 8:33 am
It is a sobering message.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, Bret Lee Niemuth submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
16 Nov 2011, 6:16 am
The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 11-52 (Notice) reminding its member firms of their supervisory obligations regarding the use of designations by their brokers that imply expertise, additional training or a specialty in advising elderly investors (senior designations). [read post]
30 Nov 2018, 2:39 pm
Legend Securities Ordered to Pay Client For Churning His Funds A Financial Industry Regulatory Authority (FINRA) panel has awarded Herbert W. [read post]
2 Apr 2024, 9:05 pm
By incorporating climate risk into their stress test exercises, regulators and banks will be better equipped to understand emerging threats to financial stability, Acharya and his coauthors conclude.The post Assessing Financial Risk Amid Climate Risk first appeared on The Regulatory Review. [read post]
18 Mar 2011, 3:54 pm
This month, the Financial Industry Regulatory Authority (FINRA) reprimanded First Clearing, LLC, a St. [read post]
6 May 2015, 3:39 pm
The Financial Industry Regulatory Authority fined LPL Financial $10 million for what they deemed as “broad supervisory failures. [read post]
23 Nov 2020, 9:18 am
FINRA Reportedly Bars Lynn Cawthorne after Alleged Felony Charges According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Lynn Cawthorne on November 16, 2020. [read post]
19 Nov 2020, 12:24 pm
FINRA Reportedly Suspends David “Todd” Phillips for Alleged Sales of Future Income Payments According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has reportedly suspended financial advisor David Todd Phillips and fined him $5,000 after allegations of private securities transactions. [read post]
