Search for: "Financial Industry Regulatory Authority"
Results 1321 - 1340
of 11,221
Sorted by Relevance
|
Sort by Date
17 Dec 2009, 12:30 pm
FINRA, the Financial Industry Regulatory Authority, expects to bring cases against brokerage firms involved in selling private-placement offerings next year, its head of enforcement said last week. [read post]
9 Jul 2021, 9:58 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Ronald Giovino from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
15 Nov 2023, 8:55 am
The Financial Industry Regulatory Authority (FINRA) is the self-regulator that oversees brokers and brokerage firms. [read post]
23 Oct 2018, 11:13 am
According to recent information released by the securities industry watchdog, FINRA (Financial Industry Regulatory Authority), over his long 35 year career with major brokerage houses including Stifel and most recently Wells Fargo, former Certified Financial Planner John Gregory Schmidt formed close personal relationships with elderly and infirm clients in order to win their trust and steal their money.Several Clients Had Alzheimer’s or… [read post]
12 May 2021, 9:03 pm
The OFR reduced its own autonomy and budget by moving away from fees assessed on the financial industry and toward congressionally appropriated funds—a change that placed the OFR at the mercy of legislators’ whims. [read post]
8 Sep 2014, 6:23 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Richard Lewis (Lewis) concerning allegations that Lewis exercised discretion in a customer’s account without obtaining prior written authorization from the customer. [read post]
10 Dec 2015, 11:49 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) Tremblay has been the subject of at least 24 customer complaints. [read post]
4 Nov 2016, 8:54 am
Even though U.S. brokers are overseen by an industry self-regulator, the Financial Industry Regulatory Authority (FINRA) there is a current trend in the securities industry for brokers who have been permanently or temporarily barred to transition to a new career as an investment advisor. [read post]
26 Sep 2023, 11:22 am
The Financial Industry Regulatory Authority (FINRA) offers a streamlined and cost-effective dispute resolution forum for resolving disputes in the securities industry. [read post]
21 Jul 2016, 2:17 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
8 Jun 2017, 2:26 pm
Gana LLP’s investment fraud attorneys are investigating multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) again broker Todd Douglas Ryman (Ryman). [read post]
2 Feb 2023, 6:56 pm
Our Skilled Annuity Fraud Lawyers Represent Northstar Financial Services (Bermuda) Investors Mexico Investors File FINRA Lawsuit Accusing Truist Investment Services of Overconcentration Once again, Shepherd Smith Edwards and Kantas (investorlawyers.com) have filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Truist Investment Services over losses suffered by investors in Northstar Financial Services (Bermuda)… [read post]
15 Oct 2021, 10:25 am
YES Strategy Investors Suffer Losses, Say Risks Were Misrepresented Another Financial Industry Regulatory Authority (FINRA) arbitration claim has been filed against UBS Financial for losses sustained in its Yield Enhancement Strategy. [read post]
14 Sep 2021, 7:36 am
Ex-New York Financial Advisor Was Barred by FINRA in 2014 Nearly seven years after he was barred by the Financial Industry Regulatory Authority and fired by Ameriprise Financial Services, ex-New York broker Ted Wayne Cadwallader continues to be accused of making unsuitable investment recommendations that caused them significant losses. [read post]
9 Nov 2018, 9:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of a Stuckey’s customer complaints allege that Stuckey made unsuitable recommendations in different investments including variable annuities and energy stocks. [read post]
2 Mar 2012, 2:08 pm
FINRA (Financial Industry Regulatory Authority) has taken disciplinary actions against the following individuals for violations of FINRA rules and federal securities laws, rules and regulations. [read post]
28 Jan 2016, 2:56 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Johnathan McHale (McHale). [read post]
23 Sep 2016, 10:50 am
Yesterday, San Antonio-based broker-dealer Investment Professionals Inc. has been censured and fined $170,000 by the Financial Industry Regulatory Authority, for more on the story, click here. [read post]
14 Oct 2008, 4:15 pm
Earlier this month, a Financial Industry Regulatory Authority panel found Charles Schwab Corp. liable for $542,340 in an investor claim against the company over its YieldPlus short-term bond fund. [read post]
28 Apr 2020, 12:29 pm
According to public records on the Financial Industry Regulatory Authority (FINRA) website on April 27, 2020, the regulator reportedly barred Doraine after he allegedly failed to provide testimony in its investigation into whether Doraine had made unsuitable recommendations to customers resulting in (1) short-term trading in mutual fund A shares; (2) short-term trading of Puerto Rican municipal bonds; and (3) overconcentration of customer accounts in… [read post]
