Search for: "Financial Industry Regulatory Authority"
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31 May 2021, 7:16 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Jeffrey Warren from the securities industry. [read post]
14 Nov 2017, 12:21 pm
Correnti Reportedly Failed to Provide Information for FINRA’s Investigation According to the Financial Industry Regulatory Authority, John P. [read post]
24 Apr 2018, 12:15 pm
FINRA Questions Darrell Rideaux on “Selling Away” According to the Financial Industry Regulatory Authority (FINRA), on February 16, 2018, the regulator issued a letter of Acceptance, Waiver and Consent barring Darrell W. [read post]
19 Dec 2017, 7:39 am
Leslie Koonce denied involvement in private securities transactions According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former LPL broker Leslie Koonce for misrepresenting his involvement in the sale of private securities. [read post]
8 Dec 2017, 6:52 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in June 2013, LPL Financial LLC (LPL Financial) terminated Warner for cause alleging that he obtained client signatures on black account transfer forms. [read post]
23 Jan 2018, 7:16 am
According to BrokerCheck Records kept by the Financial Industry Regulatory Authority (FINRA), Olson was subject to a customer complaint in December 2016. [read post]
23 Aug 2016, 2:43 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
23 Aug 2016, 2:43 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
15 Nov 2023, 9:03 pm
When Unsuitable Trading Leads To Investor Losses Our Unsuitable Trading Attorneys Are Speaking To Former Customers of Ex-Merrill Lynch Broker Robert Gerstein The Financial Industry Regulatory Authority (FINRA) has suspended a former longtime Merrill Lynch financial advisor for allegedly recommending that some customers short-term trade their mutual fund shares and certain complex financial products that were better suited for a longer-term… [read post]
3 Dec 2014, 7:05 am
The Financial Industry Regulatory Authority (FINRA) in an acceptance, waiver, and consent action (AWC) sanctioned brokerage firm Genworth Financial Securities Corporation (Genworth) n/k/a Cetera Financial Specialists, LLC (Cetera) concerning allegations that from July 2009, through June 2012, the firm failed to establish a supervisory system and enforce written supervisory procedures designed to identify and prevent unsuitable excessive trading… [read post]
2 Sep 2015, 7:38 am
The Financial Industry Regulatory Authority (FINRA) barred (Case No. 201303930510) broker Kai Cheng (Cheng) concerning the broker’s failure to respond to requests for information concerning the regulators investigation into claims that Cheng engaged in conduct including entering into personal financial transactions with a customer, using a personal email address to communicate with a customer, and unauthorized trading in a customer account. [read post]
8 Jun 2021, 11:57 am
The Financial Industry Regulatory Authority “(FINRA”) has suspended Cadaret, Grant & Co., Inc. broker Matthew Zanowiak from the securities industry for ten business days for exercising discretion without written authorization in approximately 15 customer accounts. [read post]
3 Nov 2021, 8:09 am
FINRA Suspends New York-Based Financial Advisor for Nine Months John Sebastion Cangialosi, currently an SW Financial broker, was suspended by the Financial Industry Regulatory Authority (FINRA) in September 2021 for nine months. [read post]
1 Sep 2021, 11:47 am
FINRA Bars Thomas Stratton after Allegations of Misrepresentations According to the Financial Industry Regulatory Authority (FINRA) on August 12, 2021, the regulator has barred financial advisor Thomas Ward Stratton (CRD#: 1646899) from the securities industry after he allegedly failed to provide testimony in FINRA’s investigation. [read post]
8 Oct 2021, 10:45 am
FINRA Bars Broker Eric Hollifield after Allegations of Conversion of Funds According to the Financial Industry Regulatory Authority (FINRA) on October 7, 2021, the regulator has barred financial advisor Eric Hollifield (CRD#: 3091319) from associating with any FINRA member at any time. [read post]
17 Jun 2011, 7:18 am
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
21 Nov 2014, 9:57 am
On November 17, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) released companion proposals that would require disclosure of pricing reference information on customer confirmations for transactions in fixed income securities. [read post]
27 Feb 2008, 2:17 pm
The Financial Industry Regulatory Authority is charging stockbroker John Mullins with misappropriating nearly $400,000 from an elderly widow and her charitable foundation. [read post]
4 May 2011, 7:15 pm
For claims filed on or after May 16, 2011, the Financial Industry Regulatory Authority, Inc., (“FINRA”) has revised its Discovery Guide to provide additional guidance to parties and arbitration panels and FINRA reorganizes the Document Production Lists. [read post]
24 Jul 2009, 11:03 am
The controversy and danger surrounding these products was featured in recent articles in the Wall Street Journal ("FINRA Urges Caution on Leveraged Funds," by Daisy Maxey), and InvestmentNews ("Leveraged ETFs: Handle with care"), and in Regulatory Notice 09-31 published by the Financial Industry Regulatory Authority (FINRA). [read post]
