Search for: "Financial Industry Regulatory Authority"
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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]
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]
17 Dec 2020, 7:53 am
Davidson Advisor Kathleen Bott for Alleged Theft of Funds According to a Letter of Acceptance Waiver and Consent, The Financial Industry Regulatory Authority (FINRA) has reportedly barred fromer advisor Kathleen “Kathy” Bott (CRD#: 2185075) from associating with any member at any time after she reportedly failed to provide documents and information requested by FINRA in connection with its investigation concerning her alleged theft of funds. [read post]
5 Apr 2022, 9:15 am
Regulatory mandate to UK regulators A regulatory mandate in relation to stablecoins will need to be developed for the FCA, the Bank of England (BoE) and the Payment Systems Regulator (PSR), as is the case for traditional payment services and e-money where there is a need to consider co-responsibility for regulation between the three authorities. [read post]
27 Apr 2016, 11:48 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Michael Stern (Stern). [read post]
9 Jul 2015, 6:43 am
The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined Broker Dealer Financial Services Corp. [read post]
13 Dec 2018, 1:07 pm
The Financial Industry Regulatory Authority (FINRA) has suspended former Securities America broker Michael D. [read post]
16 Sep 2015, 6:04 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker James Madden (Madden) (Case No. 2014040336501) alleging that from March 2010, to February 2014, Madden exercised discretion in executing transactions in the accounts of l5 customers. [read post]
28 Nov 2011, 1:16 pm
Taylor, who brought a securities fraud claim before a Financial Industry Regulatory Authority (FINRA) arbitration panel alleged that Securian “misrepresented the real estate investments as being safe” and also that “the firm failed to supervise its broker. [read post]
19 May 2016, 7:01 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Daniel Dunn (Dunn). [read post]
28 Mar 2016, 6:27 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Mickey Long (Long). [read post]
20 May 2016, 3:23 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Robert Wamhoff (Wamhoff). [read post]
4 Oct 2016, 4:49 pm
The securities lawyers of Gana LLP are investigating a customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Rabinder “Ravi” Deshmukh (Deshmukh). [read post]
11 Apr 2011, 5:43 pm
Broker/dealers involved in sales of private placements have been put on notice by the Financial Industry Regulatory Authority (FINRA). [read post]
16 Feb 2012, 7:12 am
The Financial Industry Regulatory Authority ("FINRA") announced it has censured and fined Citigroup $750,000 for the firm's failure to retain millions of e-mails sent by or to approximately 2,800 Citigroup brokers. [read post]
