Search for: "Financial Industry Regulatory Authority"
Results 1341 - 1360
of 11,221
Sorted by Relevance
|
Sort by Date
26 Sep 2015, 4:37 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker John Cholankeril Jr. [read post]
16 Sep 2018, 4:40 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned Oppenheimer & Co. [read post]
13 Jul 2007, 11:10 am
Shapiro, Chairman and CEO of the National Association of Securities Dealers (NASD), announced that the new name of the consolidated regulatory arm will be the Financial Industry Regulatory Authority of FINRA. [read post]
16 Mar 2012, 12:10 pm
As a result of the financial crisis, the Financial Industry Regulatory Authority (FINRA) has significantly increased number of enforcement actions and the amount of sanctions imposed on broker-dealers in the previous year. [read post]
23 Oct 2008, 3:37 am
The Financial Industry Regulatory Authority announced the settlement agreement last week. [read post]
18 Dec 2009, 10:36 am
The Financial Industry Regulatory Authority ( FINRA) has launched an investigation into improper trading in advance of stock research and ratings at Citigroup, J.P. [read post]
25 Sep 2017, 7:41 am
FINRA Bars Dale Krueger for Alleged Collectible Medal Investment Scheme According to the Financial Industry Regulatory Authority, Dale Krueger has been barred from the securities industry. [read post]
25 Sep 2015, 6:54 am
Records from the Financial Industry Regulatory Authority (“FINRA”) indicate that Mr. [read post]
7 Jul 2021, 9:36 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Tyler Rigsbee from the securities industry for refusing to cooperate with a FINRA investigation. [read post]
17 Jul 2017, 12:43 pm
The securities fraud lawyers of Gana LLP are investigating customer complaints concerning alleged misrepresentation and an employment separation filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Elaine Marie Zito (Zito). [read post]
9 Feb 2021, 3:21 am
Unsuitability, Misrepresentations and Omissions Are Among the Other Allegations Ray Gene Reese, a Money Concepts Capital stockbroker and investment advisor based in Farmington, Missouri, is currently named in two pending Financial Industry Regulatory Authority (FINRA) arbitration claims seeking $600K in damages. [read post]
1 May 2015, 7:27 am
It has been reported that, the arbitration forum operated by The Financial Industry Regulatory Authority (FIRNA) has ordered Barclays PLC to pay Mayank Chamadia, a former swaps trader, approximately $9 million in back pay after he quit during a regulatory investigation. [read post]
31 Jul 2014, 8:49 am
The Financial Industry Regulatory Authority (FINRA) sanctioned financial advisor James Applewhite (Applewhite) concerning allegations that from about January 2010, through October 2012, Applewhite exercised discretion by effecting approximately 171 transactions in eight customer accounts without obtaining prior written authorization from the customers and without having the accounts accepted as discretionary accounts as required by NASD Rule… [read post]
30 Oct 2019, 4:56 am
Newbridge Securities in Boca Raton, a Florida-based broker-dealer, is censured by the Financial Industry Regulatory Authority (FINRA) and has been fined $225K over its purported failure to adequately supervise the sale of exchange-traded funds, structured notes, and other complex securities. [read post]
3 Nov 2015, 6:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Thomas Baumann (Baumann) has been the subject of at least 2 customer complaints and two judgements or liens. [read post]
23 Jan 2015, 4:53 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, Michael Vincent Borja submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Aug 2013, 2:58 am
In a recent regulatory settlement, a family member seems to have fallen prey to the fraudulent impulses of a brokerage firm employee.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, Laura Anne Dudek submitted a Letter of Acceptance, Waiver and… [read post]
5 Oct 2015, 3:00 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, Pegeen McLaughlin Lodge submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
4 Apr 2016, 8:14 am
Although an Acceptance, Waiver, and Consent ("AWC") appears to be the most common outcome for Financial Industry Regulatory Authority ("FINRA") regulatory investigations, the mechanics and consequences of such a settlement are rarely understood by many registered representatives acting as their own counsel, and often not properly explained by lawyers to their industry clients. [read post]
5 Apr 2017, 12:22 pm
Case In Point 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, Ryan Wallace submitted a Letter of Acceptance, Waiver and Consent ("... [read post]
