Search for: "Financial Industry Regulatory Authority"
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12 Sep 2015, 12:56 pm
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Patrick Teutonico (Teutonico) has been the subject of at least nine customer complaints and one regulatory action over the course of his career. [read post]
16 Oct 2018, 8:06 am
The Financial Industry Regulatory Authority has barred another former Morgan Stanley (MS) broker. [read post]
30 Mar 2010, 10:34 am
In July 2007 the Financial Industry Regulatory Authority (FINRA) was created through the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration functions of the New York Stock Exchange (NYSE). [read post]
21 Dec 2009, 5:05 pm
Pacific Cornerstone Capital and former CEO Terry Roussel face $750,000 in fines by the Financial Industry Regulatory Authority Industry (FINRA) for making misleading statements and omitting facts in connection with sales of two private placements. [read post]
3 Feb 2016, 10:41 am
The securities lawyers of Gana LLP are investigating the termination by The Financial Industry Regulatory Authority (FINRA) of broker Ricardo Fancois (Fancois). [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
29 Oct 2009, 3:22 pm
The Financial Industry Regulatory Authority (FINRA) announced the expansion of a two-year pilot program that gives some investors an opportunity to select an arbitration panel composed of three public arbitrators instead of two public and one non-public in certain cases. [read post]
24 Aug 2018, 11:47 am
According to public records, Greensburg, Pennsylvania based brokerage firm, Trustmont Financial Group, Inc. was ordered by the Financial Industry Regulatory Authority to pay an aggrieved client more than $1 million in damages. [read post]
25 Apr 2017, 12:03 pm
The Financial Industry Regulatory Authority (FINRA) also has issued guidelines to member firms. [read post]
16 Mar 2020, 8:49 am
BANNED BROKER QUESTIONS FINRA'S RIGHT TO BAR HIMInvestment law specialists on Thursday raised concerns that the Financial Industry Regulatory Authority will lose its capacity to exclude bad brokers because of a progressing case pitting the Securities and Exchange Commission against a broker that FINRA banned in 2008.If the U.S. [read post]
10 Mar 2022, 2:00 am
Ohio Financial Advisor Andrew Elsoffer Named in Multiple Customer Disputes Andrew Bruce Elsoffer, who Stifel, Nicolaus & Co. fired in 2018, is suspended by the Financial Industry Regulatory Authority (FINRA) for two years, beginning March 7, 2022. [read post]
29 Aug 2023, 3:00 am
Read now » Related Content ESG: The New Corporate Conscience for Insurers Review the components, impacts, initial industry responses, and compliance initiatives for insurers to consider when addressing emerging ESG statutory and regulatory requirements. [read post]
18 Jul 2018, 8:36 am
Seigerman Barred from Securities Industry According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred New Jersey financial advisor David A. [read post]
19 Feb 2021, 12:44 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Scott Wayne Reed from the securities industry over allegations that Mr. [read post]
20 Feb 2009, 9:18 am
The Financial Industry Regulatory Authority announced the fines last week. [read post]
2 Oct 2014, 11:51 am
On October 1st, the nation’s Securities and Exchange Commission (“SEC”) reportedly extended its review of a Financial Industry Regulatory Authority (“FINRA”) proposal to revamp how public arbitrators are selected in disputes between brokerages and consumers. [read post]
5 Sep 2024, 1:29 pm
FINRA Bars John Christoforidis after Allegations of Broker Misconduct According to the Financial Industry Regulatory Authority (FINRA), the self-regulator has reportedly barred financial advisor John Christoforidis (CRD#: 2841315) from the securities industry. [read post]
9 Dec 2013, 6:16 am
Yes, you can, under certain circumstances, accept such roles; but you better make sure you're up to snuff with both your firm's compliance rule and industry regulators' regulations.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 a... [read post]
8 Dec 2016, 4:09 am
Competing views aside, the industry's self-regulatory organization, the Financial Industry Regulatory Authority, has a specific rule addressing fair prices and commissions. [read post]
