Search for: "Financial Industry Regulatory Authority"
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9 Dec 2013, 3:26 am
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, Stuart A. [read post]
7 Jan 2022, 11:54 am
" Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without adm... [read post]
16 Nov 2023, 6:28 am
Recently, Traderfield Securities Inc. and its principal, Mario Divita, found themselves at the center of regulatory scrutiny by the Financial Industry Regulatory Authority (FINRA). [read post]
26 Jan 2024, 1:40 pm
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
26 May 2015, 11:32 am
On May 6, 2015, LPL Financial LLC (“LPL”) submitted a Letter of Acceptance, Waiver and Consent (“AWC”) to the Financial Industry Regulatory Authority’s (“FINRA”) Department of Enforcement to settle allegations that LPL violated FINRA supervisory rules. [read post]
25 May 2022, 6:58 am
Claimant Says He Was Never Apprised of the Risks Involved in GWG ‘Junk’ L Bonds A retired Missouri worker has filed a six-figure Financial Industry Regulatory Authority (FINRA) arbitration claim against Titan Securities and its broker, Rodger Sprouse, over losses sustained in GWG L Bonds. [read post]
19 Apr 2023, 11:50 am
Seattle Broker Michael Raineri Barred after Allegations of Conversion of Funds According to public documents, the Financial Industry Regulatory Authority (FINRA), the self-regulator that oversees brokers and brokerage firms, has barred financial advisor Michael Raineri (CRD # 4817588) from the securities industry. [read post]
30 Jul 2018, 6:34 am
The Financial Industry Regulatory Authority has issued yet another "Notice" -- this time not merely a regular, normal, run-of-the-mill notice but, OMG!!! [read post]
31 Oct 2013, 8:04 am
The Financial Industry Regulatory Authority (FINRA) filed a civil enforcement action on October 18, 2013 against Bambi Holzer, a formerly registered broker and investment advisor in Beverly Hills, California. [read post]
29 Jul 2014, 5:57 pm
The Financial Industry Regulatory Authority (FINRA) barred from the financial industry broker James Bracey (Bracey) concerning allegations that in or about February 2008, Bracey, received a $175,000 loan from a customer without notifying Multi-Financial, now known as Cetera Advisor Network LLC. [read post]
25 Aug 2023, 11:47 am
The Financial Industry Regulatory Authority (FINRA) operates the largest dispute resolution forum in the securities industry. [read post]
31 Oct 2019, 9:26 am
The Financial Industry Regulatory Authority (FINRA) recently barred Stuart Nichols, a former broker with the firm, after he failed to participate in the self-regulatory authority’s probe into churning allegations made against him. [read post]
28 Aug 2018, 6:42 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Maxim Group LLC (Maxim Group) broker Michael Solomon (Solomon) has been subject to seven disclosed customer complaints. [read post]
10 Mar 2010, 12:47 pm
On February 23, 2010, the Project On Government Oversight sent a letter to Congressional committee members charged with financial oversight urging them not to trust or rely on the Financial Industry Regulatory Authority (FINRA) to police the brokerage industry. [read post]
15 Aug 2011, 12:00 am
A number of critics have posed this question to the Financial Industry Regulatory Authority (FINRA), the country’s largest independent securities regulator which oversees over 4,500 financial brokerage and securities firms. [read post]
21 Mar 2016, 10:59 am
On March 15, the Financial Industry Regulatory Authority (commonly referred to as “FINRA”) issued a Report that emphasizes that offerings of digital investment advice requires sound governance and supervision, including effective means of overseeing the suitability of recommendations, conflicts of interest, customer risk profiles and portfolio rebalancing. [read post]
4 Jun 2014, 5:41 am
On March 10, 2014, Larry Steven Werbel submitted a Letter of Acceptance, agreeing to accept the sanctions handed down by the Financial Industry Regulatory Authority (FINRA) for alleged violations relating to the sale of penny stocks during his tenure at LPL Financial, LLC. [read post]
10 Jul 2009, 12:58 pm
(“UBS”), in effect pending an arbitration hearing before the Financial Industry Regulatory Authority (“FINRA”). [read post]
7 Sep 2010, 4:55 am
Applicants must have a college degree and at least five years experience in a compliance, analytical or investigative role (ten years experience for the Director position) and strong knowledge of securities industry rules or relevant securities industry experience. [read post]
24 Jan 2023, 10:16 pm
What To Know When Filing a FINRA Complaint Against Your Broker The Difference Between A FINRA Lawsuit and a FINRA Complaint If you suspect that your financial advisor engaged in broker misconduct or negligence, then you may be considering filing a complaint with the Financial Industry Regulatory Authority Organization (FINRA). [read post]
