Search for: "Financial Industry Regulatory Authority"
Results 1061 - 1080
of 11,294
Sorted by Relevance
|
Sort by Date
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]
8 May 2024, 7:20 pm
Inc. reportedly settled with the Financial Industry Regulatory Authority (FINRA), agreeing to pay a $500,000 fine. [read post]
17 Dec 2015, 5:51 am
In addition, The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2014042951501) against Tingle. [read post]
28 Jul 2016, 1:42 pm
Brown is currently employed and registered with Capital Portfolio Management, Inc. and works at the broker-dealer’s Timonium, Maryland office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jan 2016, 12:29 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Brian Zimmerman (Zimmerman). [read post]
30 Jan 2019, 3:23 pm
On January 22, 2019, the Financial Industry Regulatory Authority, Inc. [read post]
6 Sep 2023, 9:05 pm
To illustrate this point, Allen points to the 2008 financial crisis, which Allen contends resulted in large part from regulatory failure to act. [read post]
26 May 2009, 9:02 am
There is a growing concern on the part of regulatory agencies - including the Securities and Exchange Commission, the Financial Industry Regulatory Authority and the Senate Committee on Aging - that unscrupulous advisors are using dubious credentials to take advantage of consumers. [read post]
15 Nov 2023, 8:39 pm
Investors File FINRA Lawsuit Seeking Up To $1M In Damages from Ameriprise Financial For years the Financial Industry Regulatory Authority (FINRA) has been cautioning brokers against selling variable life insurance to retirees. [read post]
25 Apr 2021, 1:10 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Frederick Rock from the securities industry for five months and ordered him to pay a $5,000 fine. [read post]
28 Apr 2010, 5:00 am
The Financial Industry Regulatory Authority released Regulatory Notice 10-22 reminding registered firms about their obligations regarding suitability, disclosures and other requirements for selling private placements to customers. [read post]
7 May 2015, 7:09 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker Douglas Dannhardt (Dannhardt) concerning allegations that between January 2010, and December 2011 Dannhardt engaged in several different violations of the industry’s rules including: 1( excessive and unsuitable trading in three IRA accounts (also known as churning); 2) improperly exercising discretion in these three accounts by executing transactions days and weeks after… [read post]
9 Jul 2015, 3:48 am
You may have seen some of the recent television ads for the Financial Industry Regulatory Authority's ("FINRA") online disclosure website BrokerCheck.As noted on the self-regulatory organization's "About BrokerCheck" website page:BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of brokers and brokerage firms, as well as investment adviser firms and advisers. [read post]
26 Jan 2012, 4:07 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
20 Sep 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities. [read post]
