Search for: "Financial Industry Regulatory Authority"
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5 Aug 2013, 4:11 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, Michael Jeffery Wiseman submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
29 Apr 2022, 12:40 pm
In a recent FINRA regulatory settlement, we are presented with full-blown humanity and very little divinity.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 hear... [read post]
23 Jun 2014, 6:40 am
An Ameriprise Branch OfficeFor 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, Justin M. [read post]
4 Jul 2013, 7:12 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, Phaedra Danell Spain a/k/a Phaedra Danell Bushnell MS a/k/a Phaedra Danell Bushnell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Aug 2016, 4:37 am
In a recent FINRA regulatory settlement, the violations involving Foreign Associates don't come off as particularly serious but the lessons are invaluable for firms contemplating similar relationships.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... [read post]
25 Apr 2013, 6:14 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, Michael J. [read post]
Centaurus Financial Slapped with $175,000 FINRA Fine for Failing to Protect Confidential Client Info
10 May 2009, 11:25 am
The Financial Industry Regulatory Authority says it is fining Centaurus Financial Inc. because the firm failed to protect customers' confidential information. [read post]
26 Jul 2010, 1:48 pm
The Reform Act implements a sweeping regulatory overhaul of the financial, banking and mortgage industries and also addresses consumer protection. [read post]
12 Aug 2020, 11:10 am
Lyons, Louisville, KY FINRA Bars Christopher Duke Bennett for Failure to Cooperate with its Investigation According to Financial Advisor IQ, citing a document from the Financial Industry Regulatory Authority on August 6, 2020, the regulator has barred former J.J.B. [read post]
26 Jan 2018, 9:41 am
With effect from July 2016 the German legislator has introduced a regulation to protect whistleblowers within the financial services sector, i.e. companies under the supervision of the German Federal Financial Supervisory Authority (BaFin). [read post]
28 Aug 2015, 6:44 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Leonard McAbee (McAbee) has been the subject of at least three customer complaints, one regulatory action, one judgment and/or lien, and one employment separation. [read post]
25 Jun 2015, 6:19 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Bell (Bell) has been the subject of at least 8 customer complaints, two financial disclosures, two firm terminations, and two regulatory actions. [read post]
17 Feb 2010, 7:13 pm
The Financial Industry Regulatory Authority (FINRA) has fined H&R Block Financial Advisors (now Ameriprise Advisor Services) $200,000 for failing to put in place the proper system to supervise its reverse convertible notes (RCN) sales to retail clients. [read post]
14 Oct 2017, 10:42 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jay Jordan (Jordan), in August 2017, was sanctioned by FINRA and had a permanent bar imposed in connections with allegations of unsuitable investments in leveraged exchanged traded funds (Non-Traditional ETFs) based on the investor’s investment objectives, financial situation, risk tolerance, experience, and investment needs. [read post]
28 Dec 2020, 10:59 am
FINRA Reportedly Bars Michael Shillin after Alleged Dismissal for Misrepresentations According to a Letter of Acceptance Waiver and Consent (AWC) signed on December 18, 2020, The Financial Industry Regulatory Authority (FINRA) reportedly barred former advisor Michael Shillin (CRD#: 5927156, Altoona, WI) from association with any FINRA member in all capacities after he purportedly refused to appear for on-the-record testimony. [read post]
19 Dec 2014, 2:44 pm
The Financial Industry Regulatory Authority (FINRA) filed a complaint against brokerage firm SWS Financial Services, Inc. [read post]
14 Nov 2018, 9:56 am
According to the Financial Industry Authority (FINRA), the regulator has reportedly permanently barred financial advisor Kyle Harrington from associating with any FINRA member firm. [read post]
14 Nov 2018, 9:56 am
According to the Financial Industry Authority (FINRA), the regulator has reportedly permanently barred financial advisor Kyle Harrington from associating with any FINRA member firm. [read post]
17 Apr 2011, 4:24 pm
Our law firm recently filed a securities arbitration claim before the Financial Industry Regulatory Authority (FINRA) on behalf of a Northern California woman who was encouraged by her investment advisor at Ameritas Investment Corporation to take out real estate loans so that she could invest in the IMH Secured Loan Fund, a private placement that was exempt from Federal securities registration requirements. [read post]
23 Sep 2015, 6:40 am
According to BrokerCheck, as maintained by the Financial Industry Regulatory Authority, Mr. [read post]
