Search for: "Financial Industry Regulatory Authority"
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6 May 2015, 6:47 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against broker Vito Balsamo (Balsamo) concerning allegations that Balsamo engaged in private securities transactions – also known as “selling away” – in ownership interests in a limited liability company called V.W. [read post]
19 Jun 2018, 10:21 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Steven Knuttila from the securities industry for reportedly failing to provide testimony in an investigation. [read post]
28 Mar 2018, 9:41 am
According to the Financial Industry Regulatory Authority (FINRA) yesterday, the regulator has reportedly barred former advisor Lawrence “Larry” Fawcett, Jr. [read post]
14 Apr 2010, 8:41 am
Last week, in an almost unprecedented manner, three groups of securities regulators – the SEC, the Financial Industry Regulatory Authority (FINRA), and various state regulators – almost simultaneously filed enforcement actions against Morgan Keegan for fraud arising out of its sales of 6 toxic bond funds. [read post]
29 Jun 2016, 2:02 pm
Gioffre was employed and registered from July 2014 to August 2015 with Constellation Wealth Advisors LLC, a New York broker-dealer, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
25 Apr 2018, 12:37 pm
FINRA Sanctions LPL Financial for Supervisory Issues According to the Financial Industry Regulatory Authority on February 6, 2018, LPL Financial LLC (CRD #6413, Boston, Massachusetts) was issued an AWC in which the firm was censured and fined $375,000. [read post]
21 Mar 2014, 9:48 am
According to the South Florida Business Journal, the Financial Industry Regulatory Authority (FINRA) permanently barred former Miami broker, Bruce F. [read post]
8 Jul 2021, 3:00 am
SRO Was Investigating Trading Activity in Customers’ Accounts The Financial Industry Regulatory Authority (FINRA) has barred Salvatore Pizzimenti from the industry. [read post]
10 Jul 2017, 2:37 pm
FINRA June 2017 Disciplinary Report According to the Financial Industry Regulatory Authority, Clay E. [read post]
20 May 2013, 9:59 am
According to Investment News, the Financial Industry Regulatory Authority (FINRA) has fined VSR Financial Services Inc. $550,000, in addition to a 45-day suspension of their chairman, Don Berry, for over concentrating client portfolios in alternative investments. [read post]
1 Jun 2015, 8:24 pm
According to Bank Investment Consultant, the Financial Industry Regulatory Authority (FINRA) has expelled Mr. [read post]
1 Nov 2018, 8:04 am
David Ferwerda – Signator Investors – Grand Rapids, Michigan According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor David Ferwerda (CRD No. 832431) from associating with any FINRA member at any time. [read post]
7 Apr 2009, 1:36 pm
Separate Financial Industry Regulatory Authority arbitration panels have issued awards to investors who suffered financial losses in Regions Morgan Keegan mutual funds. [read post]
22 Dec 2010, 9:22 am
andnbsp;Legal claims or lawsuits against stockbrokers for fraud, the sale of unsuitable investments, breach of fiduciary duty, and the failure to supervise, universally, and only in the rarest exception, are required to be litigated or arbitrated before FINRA, the Financial Industry Regulatory Authority, Office of Dispute Resolution, where until recently, at least one member of the arbitration panel sitting in judgment of a customerandrsquo;s claim, was required… [read post]
7 Jan 2014, 6:10 am
On December 13, 2013, Financial Industry Regulatory Authority Inc. [read post]
20 Jan 2015, 6:08 am
These complaints were recently capped off with an affirmation by the Financial Industry Regulatory Authority’s (FINRA) appeals body, the National Adjudicatory Council (NAC), decision imposing more than $300,000 in fines and a month-long suspension of top executives for failures in their reporting duties. [read post]
8 Sep 2023, 12:51 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
4 Dec 2017, 11:22 am
According to the Financial Industry Regulatory Authority (FINRA), McMurray reportedly failed to provide FINRA-requested documents and information related to an investigation into the circumstances surrounding his termination from his member firm. [read post]
14 Jul 2016, 9:10 am
A Financial Industry Regulatory Authority (“FINRA”) arbitration panel has reportedly ordered a wealth management adviser to pay a couple $331,000 in compensatory damages for making unsuitable, high-risk investments. [read post]
1 Sep 2009, 9:36 am
The Financial Industry Regulatory Authority (FINRA) recently announced that a former Smith Barney sales assistant working out of the firm's Palo Alto, California, branch office was barred from the industry for securities fraud law violations that included bilking customers out of more than $850,000. [read post]
