Search for: "Financial Industry Regulatory Authority"
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3 Nov 2015, 6:23 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Salvatore Pizzimenti (Pizzimenti) has been the subject of at least 4 customer complaints. [read post]
10 Jul 2024, 12:23 pm
Regulators such as the Consumer Financial Protection Bureau have relied heavily on informal regulatory guidance that is not subject to notice and comment rulemaking or judicial review. [read post]
4 Jun 2018, 7:13 am
Christopher Wendel – SA Stone Wealth Management – Investigation According to the Financial Industry Regulatory Authority (FINRA) on June 1, the regulator has barred former financial advisor Christopher T. [read post]
21 Aug 2017, 1:30 pm
Scotrun, PA ex-broker barred by FINRA, NJ Bureau of Securities and PA Bureau of Securities According to FINRA, Anthony Diaz (Scotrun, PA CRD 4131948) entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) on May 27, 2015. [read post]
31 Oct 2018, 12:41 pm
FINRA Sanctions LPL for Complaint Reporting Violations and AML Program Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures over a three year period. [read post]
16 Oct 2023, 10:34 am
Prohibiting Time and Price Discretion – A Case Study of Dominic Joseph Carlo Introduction The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization that oversees the conduct of broker-dealers and their associated persons. [read post]
6 Feb 2019, 12:44 pm
Donald Logan – Waddell & Reed – Silverdale, Washington According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended Donald Logan (CRD #5537486) from acting as a broker for 18 months and fined him $25,000. [read post]
2 Sep 2014, 2:34 pm
According to the Pocono Record, the Financial Industry Regulatory Authority (FINRA) has accused insurance broker, Anthony Diaz, of purchasing unsuitable life insurance investments on behalf of nearly 80 clients. [read post]
11 Dec 2014, 1:54 pm
The White Law Group announces that it has filed a Financial Industry Regulatory Authority (FINRA) arbitration statement of claim against Centaurus Financial. [read post]
8 Jan 2021, 4:17 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Angel Wynette Bardeche (CRD# 4698117) from the securities industry for nine months and fined her $10,000. [read post]
4 Feb 2011, 6:07 am
The Securities and Exchange Commission approved a Financial Industry Regulatory Authority, Inc. proposal giving investors the option to have an all-public arbitration panel. [read post]
1 Mar 2022, 9:33 am
FINRA Bars Beverly Hills Financial Advisor Following Unsuitability Allegations Ex-Oppenheimer and Hilltop Securities broker Dennis Phillip Ayre is barred by the Financial Industry Regulatory Authority (FINRA) beginning January 28, 2022. [read post]
11 Mar 2021, 8:30 am
FINRA Reportedly Bars Broker Mayur Dalal in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Mayur T. [read post]
11 Mar 2021, 8:30 am
FINRA Reportedly Bars Broker Mayur Dalal in connection with Alleged Outside Business Activities According to public records, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor Mayur T. [read post]
24 Mar 2014, 4:50 pm
According to reports, the Financial Industry Regulatory Authority (FINRA) recently fined LPL Financial $950,000 for failure to adequately supervise the sale of alternative investment. [read post]
30 May 2009, 2:03 pm
FINRA, the Financial Industry Regulatory Authority, quietly withdrew a proposal to the discovery rules in securities arbitrations that would have obliged investors to disclose even more of their financial histories than the present rules provide. [read post]
22 Apr 2010, 6:07 pm
Turner & Company, LPL Financial, UBS, Citicorp Investment Services and Morgan Stanley, has been fined $10,000 and suspended from association with any member of the Financial Industry Regulatory Authority (FINRA) for 15 business days. [read post]
20 Jan 2012, 2:46 pm
Brokerage firms and registered reps selling private placements, inverse and leveraged exchange traded funds (ETFs), structured notes and other complex investment products have been put on notice by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Mar 2014, 6:01 am
The Financial Industry Regulatory Authority (FINRA) has brought a complaint against financial advisor Brian H. [read post]
21 May 2013, 3:31 pm
The Financial Industry Regulatory Authority (FINRA) has levied a $7.5 million fine against LPL Financial LLC (LPL) for a series of email system failures which prevented LPL from accessing hundreds of millions of emails and reviewing tens of millions of other emails. [read post]
