Search for: "Financial Industry Regulatory Authority"
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6 Jun 2017, 12:32 pm
Gana LLP is investigating a customer complaint filed with the Financial Industry Regulatory Authority (FINRA) again broker Joeann Mitchell Walker (Walker). [read post]
13 Oct 2015, 6:33 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Wolk (Wolk) has been the subject of an astonishing 13 customer complaints, 3 regulatory matters, one criminal matter, and 6 judgments and liens over the course of his career. [read post]
21 Mar 2018, 6:57 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has allegedly barred Gary Basralian of Maplewood, NJ from the securities industry. [read post]
5 Sep 2024, 12:07 pm
David Victor Tall, Osaic Wealth, Barred by Securities Regulator According to the Financial Industry Regulatory Authority (FINRA), the self-regulator has barred David Victor Tall from working in the securities industry. [read post]
15 Feb 2012, 3:01 am
In a Financial Industry Regulatory Authority (? [read post]
19 Jan 2012, 2:57 am
In an initial Financial Industry Regulatory Authority (? [read post]
8 Feb 2012, 4:53 am
In a Financial Industry Regulatory Authority (? [read post]
18 Nov 2015, 2:13 pm
Without admitting to or denying the Financial Industry Regulatory Authority findings, Comuzzi consented that he refused to respond to FINRA’s request for information. [read post]
13 Sep 2013, 3:47 am
Ahhh, now you're just going to have to read on.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, Craig Thomas Podosek submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
11 Dec 2023, 8:34 pm
Shepherd Smith Edwards and Kantas Represents Investors Who Have Been The Victims of Financial Advisor Fraud The Financial Industry Regulatory Authority (FINRA) recently barred former Western International Securities broker Christopher Booth Kennedy. [read post]
13 Sep 2024, 6:07 pm
Raymond James To Pay $1.8M Fine Over Purported Mutual Fund Monitoring Failures Potentially Unsuitable Mutual Fund Switching May Have Caused Excessive Sales Fees, Commissions Raymond James Financial Services and Raymond James & Associates, which are both Raymond James Financial Inc. subsidiaries, have agreed to pay over $1.8M to settle Financial Industry Regulatory Authority (FINRA) allegations that they failed to properly… [read post]
15 Oct 2021, 10:00 am
Chicago-based Stoltmann Law Offices is investigating allegations against Eric Hollifield that came to light as a result of a regulatory filing by the Financial Industry Regulatory Authority (FINRA). [read post]
10 May 2010, 5:00 am
The Financial Industry Regulatory Authority permanently barred Tod Bretton, former chief compliance officer and head trader for Prestige Financial Center, Inc. [read post]
18 Aug 2017, 8:55 am
On August 20, new pay-to-play regulations of the Financial Industry Regulatory Authority (FINRA) take effect. [read post]
14 Jul 2016, 7:13 am
Turner had been employed and registered with Pruco Securities, LLC, a broker-dealer, from July 2013 to August 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
5 Oct 2009, 1:51 pm
Kapil Shashikant Shah (CRD #4409290) was fined $10,000 by the Financial Industry Regulatory Authority (FINRA) in September and suspended from association with any FINRA member in any capacity for 20 business days. [read post]
8 Oct 2015, 6:37 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and suspended for two year broker Walter Chao (Chao) (FINRA No. 2012034046301) alleging that between February and May 2012, while registered with LPL Financial LLC (LPL Financial), Chao participated in nine private securities transactions totaling $1.27 million without LPL’s approval. [read post]
4 Dec 2018, 10:35 am
Ralph VonLutzow – Oberweis Securities – Sarasota, FL According to the Financial Industry Regulatory Authority (FINRA) on December 3, 2018, the regulator has barred former financial advisor Ralph VonLutzow from associating with any FINRA member at any time. [read post]
28 Oct 2019, 12:21 pm
Financial Industry Regulatory Authority (FINRA) has fined former Texas broker Steven Yellen $25K for allegedly making unauthorized trades while he was a registered representative for both Ameriprise (AMP) and Morgan Stanley (MS). [read post]
11 Sep 2015, 9:21 am
Case In Point 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... [read post]
