Search for: "Financial Industry Regulatory Authority"
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18 Feb 2016, 5:51 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker William Carlton (Carlton). [read post]
29 Apr 2021, 10:35 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Constantinos Maniatis from the securities industry for 30 days. [read post]
24 Mar 2021, 6:29 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended Aegis Capital Corp. financial advisor Corey Alexander Johnson from the securities industry for 30-calendar days. [read post]
4 Sep 2009, 1:02 pm
Citigroup Inc. sales assistant Tamara Lanz Moon has been barred from the securities industry by the Financial Industry Regulatory Authority. [read post]
10 Mar 2021, 1:44 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker George Marshall Warner from the securities industry. [read post]
28 Aug 2015, 4:32 am
Read this recent FINRA settlement.Case In PointFor 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 is... [read post]
8 Nov 2015, 11:34 am
The Financial Industry Regulatory Authority (FINRA) fined (Case No. 2013036001201) broker Garrett Ahrens (Ahrens) concerning allegations that the broker used false and misleading consolidated reports with clients. [read post]
28 Aug 2017, 7:57 am
The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change with the Securities and Exchange Commission (SEC) to expand its brand-new pay-to-play rules to cover capital acquisition brokers (CAB). [read post]
17 Feb 2012, 3:01 pm
Earlier this month, the Financial Industry Regulatory Authority (FINRA) released a letter addressing broker-dealer's practices in recommending high-yield products to clients. [read post]
8 Apr 2021, 7:01 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the complaints against Pearl concern allegations of unsuitable investments, unauthorized trading, and margin trading among other causes of action. [read post]
28 Jun 2021, 12:17 pm
FINRA Bars former Advisor Nathan Katz after Allegations of Misconduct According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Nathan Gersteen Katz (CRD#: 846475) from association with any FINRA member at any time. [read post]
10 Jun 2023, 7:24 am
Just as a remote work rule for broker-dealers was up for final approval, FINRA has snatched it back for further revisions.The Financial Industry Regulatory Authority — the brokerage industry's self-regulator — put forward changes to its remote work proposal on March 29, a day before it was scheduled for adoption or rejection by [...] [read post]
19 Jun 2023, 10:24 am
An excessive trading case against two brokers at Laidlaw & Company is the latest sign that regulators are getting serious about a nearly 3-year-old rule requiring advisors to put clients' interests before their own.The Financial Industry Regulatory Authority, the broker-dealer industry's self-regulator, reached agreements last month with Todd Anthony Cirella and Edward Scott [...] [read post]
15 Jul 2019, 3:17 pm
While acknowledging the challenges in applying the securities laws to digital assets, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA), in a joint statement on July 8, 2019, reaffirm that those rules equally apply to digital assets, and promise they will continue to engage the industry in finding solutions. [read post]
15 Aug 2014, 5:16 am
The Financial Industry Regulatory Authority ("FINRA") has a seemingly short and sweet rule in its Code of Arbitration Procedure for Customer Disputes, which defines mandatory customer-industry arbitration as follows:FINRA Rule 12200. [read post]
6 Aug 2015, 10:29 am
FINRA Bars Former Caldwell Broker for Churning Customer Accounts -The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Richard Adams, a former registered representative of Caldwell International Securities Corp., from the securities industry for churning customers’ accounts and other securities rule violations. [read post]
31 Oct 2011, 10:38 am
Since the Financial Industry Regulatory Authority (FINRA) amended its rules effective January 31, 2011 to allow investors who file securities arbitration claims to opt for an “all-public” panel with no ties to the securities industry (as FINRA defines “ties”), 77 percent of eligible investors have done so, according to Linda Fienberg, president of FINRA Dispute Resolution, which administers arbitration proceedings. [read post]
7 Jun 2023, 10:51 am
Three Financial Industry Regulatory Authority arbitrators, including one industry and two public panelists, [...] [read post]
5 Apr 2018, 9:27 am
The Financial Industry Regulatory Authority (FINRA) barred former LPL broker Laura Shean from the industry for allegedly converting approximately $124,000 in customer funds between March 2017 and October 2017. [read post]
16 Jul 2014, 4:35 pm
The creation of CFPB alters the regulatory landscape for these laws. [read post]
