Search for: "Financial Industry Regulatory Authority"
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29 May 2013, 7:51 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, Stanley L. [read post]
16 Aug 2018, 5:38 am
In the case of the Financial Industry Regulatory Authority, we have a self-regulatory-organizatio... [read post]
28 May 2013, 2:45 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, Stanley L. [read post]
12 Jun 2013, 3:29 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, Stephen Blair Sherwood submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Dec 2014, 2:58 am
Consider this recent case involving a registered person's loans from two friends.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, Dian... [read post]
6 Jul 2016, 4:28 am
Muh is running as a candidate for the 2016 Financial Industry Regulatory Authority ("FINRA") Small Firm Governor seat on the self-regulatory organization's Board. [read post]
8 Jul 2016, 2:28 am
Muh is running as a candidate for the 2016 Financial Industry Regulatory Authority ("FINRA") Small Firm Governor seat on the self-regulatory organization's Board. [read post]
21 Jan 2019, 10:54 am
Temple was reportedly barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) in October 2018 after alleged bank fraud charges came to light. [read post]
11 Mar 2014, 3:36 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond James Financial Services, Inc. (“RJFS”), and Tomlinson was an employee of both the credit union and registered with RJFS.Salary Versus CommissionIn 2008, Tomlinson learned from a magazine article that a registered representative with whom h... [read post]
20 Jan 2016, 2:28 am
The jaded and dyspeptic Bill Singer also notes the lack of content and context in yet another FINRA Arbitration Decision -- and he's not pulling his punches or mincing words about his disgust.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2014, Claimant executor asserted conversion, fraud, breach of fiduciary duties, failure to supervise, embezzlement, misrepres... [read post]
27 Mar 2014, 5:40 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and fined Hantz Financial Services, Inc. [read post]
12 Jan 2022, 9:09 am
FINRA Said Triad Brokers Unsuitably Recommended LJM Preservation and Growth Fund In December 2021, the Financial Industry Regulatory Authority (FINRA) censured and fined Triad Advisors $195K for allegedly failing to supervise its registered representatives that unsuitably recommended the LJM Preservation and Growth Fund (LJM) to customers. [read post]
4 Dec 2020, 9:17 am
FINRA Suspends Texas Broker For Three Months Kurt Jason Gunter, a Wells Fargo Clearing Services (WRET) registered representative in Bee Cave, Texas, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
11 Dec 2020, 9:36 am
FINRA Suspended New York Broker After Senior Investor Lost More Than $69K Mack Leon Miller, a Spartan Capital Securities broker in New York, was suspended by the Financial Industry Regulatory Authority (FINRA) earlier this year. [read post]
9 Dec 2020, 7:59 am
Michael Magill Reportedly Barred after Allegations of Selling Securities away from Member Firm The Financial Industry Regulatory Authority has reportedly barred broker Michael Magill from the securities industry beginning December 7, 2020. [read post]
11 Jun 2020, 9:48 am
SagePoint to pay $1.3 Million in Restitution for Supervisory Issues related to early UIT rollovers According to the Financial Industry Regulatory Authority (FINRA) today, SagePoint Financial (CRD #133763, Phoenix, AZ) was censured and fined $300,000 and ordered to pay restitution to customers in the amount of $1,315,373.01, plus interest. [read post]
20 May 2021, 8:43 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Matthew Siliato from the securities industry. [read post]
8 Jan 2020, 10:00 am
FINRA FINES 5 BIG FIRMS FOR ‘KNOW YOUR CUSTOMER’ FAILURESThe Financial Industry Regulatory Authority (FINRA) sanctioned Citigroup Global Markets, J.P. [read post]
1 Aug 2016, 9:30 pm
Likewise, various regulatory agencies, such as the Federal Reserve Bank of New York, the Securities and Exchange Commission (SEC), and its self-regulatory partner, the Financial Industry Regulatory Authority (FINRA), are now making culture part of the inquiry into whether firms have adequate supervisory or risk management procedures in place. [read post]
13 Dec 2017, 6:27 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Cotter (Cotter) has been subject to two customer complaints, two employment terminations for cause, and one regulatory action. [read post]
