Search for: "Financial Industry Regulatory Authority"
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5 Jun 2023, 5:50 am
The Financial Industry Regulatory Authority Inc. alleged that Todd Anthony Cirella and Edward Scott Short traded in senior customers’ accounts at a level that was “excessive, unsuitable, [...] [read post]
6 Aug 2024, 6:24 am
Now His Own Boss Former Morgan Stanley financial adviser, Craig Thistlethwaite, was suspended and fined by the Financial Industry Regulatory Authority according to a July 18th filing. [read post]
18 Feb 2010, 10:25 pm
Just this week, the Financial Industry Regulatory Authority imposed a $200,000 fine on the broker-dealer for failing to set up proper supervisory systems over RCN sales. [read post]
5 Sep 2024, 7:07 am
On 20 August 2024, the Financial Services Regulatory Authority (the FSRA), the financial services regulator in the Abu Dhabi Global Market, published Consultation Paper No. 7 of 2024 (CP7) on a proposed regulatory framework for the issuance of stablecoins that are backed by a fiat currency, or what CP7 refers to as “Fiat-Referenced Tokens”. [read post]
25 Apr 2013, 6:19 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, Alfred P. [read post]
25 Nov 2013, 9:23 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, Jeffery Bruce Scharingson submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
6 Apr 2017, 6:16 am
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 issue, Todd J. [read post]
23 Dec 2013, 2:21 am
In the end, the transaction turns out to be a mess.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, Pamela J. [read post]
20 Jul 2015, 3:15 am
Sometimes ya just can't keep all the balls in the air.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 issue, Charles H. [read post]
11 Jul 2017, 4:54 am
"Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2016, associated person Claimant Bryant asserted that Respondent State St... [read post]
27 Nov 2013, 6:19 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, Timothy William Stephens submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Jun 2014, 6:03 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, Peter Saunders Paisley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
6 Aug 2013, 10:20 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, Ni Advisors, Inc. and Sui-Hock Goy submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
29 May 2013, 4:21 am
Notwithstanding, it is critical to timely update your Form U4 to disclose such financial events.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, Dennis Joseph Snyder submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which… [read post]
29 May 2015, 6:05 am
All in all, an excellent bit of regulation with some helpful warnings to both the industry and unwary investors.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 issue, Broker Dealer Financial Services Corp., submi... [read post]
19 Mar 2013, 7:49 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, Donahue Edwin Jones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
5 Nov 2015, 5:54 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Randy Birkinbine (Birkinbine) has been the subject of at least 2 customer complaints, 4 judgements or liens, and 1 employment separation for cause. [read post]
25 Mar 2021, 7:22 am
Under Financial Industry Regulatory Authority’s (FINRA) rules, whenever broker-dealers, registered investment advisers, or issuers of securities (FINRA member) terminate the employment of a FINRA-registered representative, including a licensed broker or financial advisor (an associated person) the member firm must file a Form U5 (the Uniform Termination Notice for Securities Industry Registration). [read post]
25 Apr 2017, 10:49 am
The securities and investment fraud attorneys at Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) against broker Stanley Clayton Niekras (Niekras). [read post]
16 Feb 2018, 1:08 pm
Travers for Refusing on-the-record Testimony According to the Financial Industry Regulatory Authority (FINRA), on December 13, 2017, the regulator issued an AWC in which Brian M. [read post]
