Search for: "Financial Industry Regulatory Authority"
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1 Jul 2015, 7:43 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Mark Gardner (Gardner) has been the subject of at least nine customer complaints, one firm termination, and one regulatory action. [read post]
4 Mar 2022, 12:34 pm
Ex-NY Worden Capital Broker Barred After Allegedly Charging $1.6M in Commissions The Financial Industry Regulatory Authority (FINRA) has barred ex-Worden Capital Management and former SW Financial registered representative, William Nicholas Athas. [read post]
13 Sep 2022, 8:42 am
Our Houston Securities Attorneys and Investment Fraud Attorneys Can Help You Explore Your Legal Options Beginning August 26, 2022, the Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley broker Doug Marshall McKelvey. [read post]
18 Aug 2022, 7:00 am
FINRA suspends former Florida Financial Advisor The Financial Industry Regulatory Authority (FINRA) has indefinitely suspended ex-broker Chad Ryan Barancyk after he failed to respond to the self-regulatory organization’s probe. [read post]
30 Jul 2020, 8:24 am
FINRA Bars Former Registered Representative Following Probe Into Accusations Bryant Edwin Caveness, an ex-Ameriprise Financial Services stockbroker, has been barred by the Financial Industry Regulatory Authority (FINRA) after he stopped cooperating in the self-regulatory organization (SRO)’s probe into his firing by the firm. [read post]
7 May 2020, 9:51 am
Woods Reportedly Suspended from the Securities Industry According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly suspended financial advisor Donald Woods for six months. [read post]
28 Feb 2010, 2:12 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in February 2010: Donald Dunakin, formerly with GunnAllen Financial and Delta Equity Services Corporation in El Dorado Hills, California, was barred from association with any FINRA member in any capacity for making unsuitable recommendations to customers who had to… [read post]
9 Jul 2018, 12:59 pm
According to publicly available records with the Financial Industry Regulatory Authority (FINRA), Fortune Financial Services broker Bruce Musselman has been subject to nine customer complaints and one criminal regulatory action. [read post]
Financial Advisor Sanctioned Over Allegations of Unsuitable Overconcentrations of Private Placements
26 Aug 2014, 5:26 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred financial advisor Stephen Lard (Lard) concerning allegations that Lard recommended and sold various private-placement securities, that were speculative, high risk, and illiquid to customers three customers. [read post]
25 Apr 2017, 10:36 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Swan Sihua Shen (Shen) also known as Swan Sihua Zhang. [read post]
15 Nov 2017, 12:00 pm
Last year, I used some of my time as a guest blogger to draw some attention to the persons appointed as public governors at the Financial Industry Regulatory Authority (FINRA). [read post]
10 Jul 2010, 9:42 am
Suitability, misrepresentation and issues involving variable annuities and mutual funds topped the list of enforcement actions levied by the Financial Industry Regulatory Authority (FINRA) in 2009. [read post]
7 Oct 2009, 4:00 am
House Financial Services Committee about regulatory reform. [read post]
30 Nov 2021, 8:10 am
He was suspended by the Financial Industry Regulatory Authority (FINRA) beginning October 25, 2021, after he failed to respond to the self-regulatory organization’s request for more information. [read post]
23 Apr 2013, 9:22 am
Last week, the Financial Industry Regulatory Authority (FINRA) Board approved a measure that may make it easier for investors to select arbitrators in a dispute against a securities brokerage. [read post]
29 Jul 2014, 8:27 am
The Financial Industry Regulatory Authority (“FINRA“) recently announced the formation of a task force that will examine possible improvements to “the transparency, impartiality and efficiency of FINRA’s securities arbitration forum for all participants. [read post]
20 Mar 2018, 12:03 pm
FINRA Bars Former Morgan Stanley Broker Thomas Meier for unauthorized trades According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Miami advisor Thomas Meier for allegedly engaging in unauthorized trades in his clients’ accounts. [read post]
13 Dec 2017, 1:47 pm
As part of its ongoing regulatory focus on variable annuity (“VA”) sales misconduct, the Financial Industry Regulatory Authority (“FINRA”) has recently barred a former Next Financial Group (“Next Financial”) (CRD# 46214) broker. [read post]
17 Jun 2019, 7:05 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Bastardi (Bastardi) has been subject to at least two customer complaints, one regulatory action, and one tax or lien judgment during his career. [read post]
19 Jan 2012, 1:53 pm
Clients of CapWest Securities received a vindication of sorts today when an arbitration panel of the Financial Industry Regulatory Authority (FINRA) ordered the broker/dealer to pay $9.1 million in damages and legal fees stemming from sales of failed private investments in Medical Capital Holdings and Provident Royalties LLC. [read post]
