Search for: "Financial Industry Regulatory Authority"
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31 Aug 2022, 7:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Fahsholtz’s customer complaints alleges that Fahsholtz recommended unsuitable investments in various investments including allegations involving debt-corporate securities, unit investment trusts, and variable annuities, among other allegations of misconduct relating to the handling of their accounts. [read post]
31 Aug 2022, 7:08 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Venturelli’s customer complaint alleges that Venturelli engaged in unauthorized trading and recommended unsuitable investments. [read post]
30 Aug 2022, 10:09 am
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) that financial advisor Terry Morris Anderson (Anderson) was terminated by his employer and has been subject to at least six customer complaints during the course of his career. [read post]
30 Aug 2022, 10:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Lors’ customer complaints alleges that Lors recommended unsuitable investments in various investments including allegations involving private placement securities among other allegations of misconduct relating to the handling of their accounts. [read post]
29 Aug 2022, 11:58 am
Health plans and insurers, health care providers, health care clearinghouses (“Covered Entities”), their business associate service providers, leaders and insurers should re-confirm their own organizations’ for handling and disposing of records and systems containing protected health information (“PHI”) comply with the Health Care Portability & Accountability Act (“HIPAA”) following the Department of Health & Human Services Office for Civil Rights… [read post]
29 Aug 2022, 7:07 am
In addition, by lowering the costs of those changes through tax credits and cash subsidies, IRA may have made some regulations financially feasible for industry that might not have been otherwise. [read post]
29 Aug 2022, 6:49 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Mr. [read post]
29 Aug 2022, 6:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Gaer’s customer complaints alleges that Gaer recommended unsuitable investments in various investments, among other allegations of misconduct relating to the handling of their accounts. [read post]
28 Aug 2022, 9:45 am
According to records kept by the Financial Industry Regulatory Authority (FINRA), Serizawa’s customer complaints allege that Serizawa engaged in excessive trading, made investments that were not in the client’s best interests, and inappropriately sold private investment funds. [read post]
28 Aug 2022, 8:09 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Reed was employed by Wells Fargo Clearing Services, LLC (Wells Fargo) at the time of the activity. [read post]
26 Aug 2022, 10:56 am
Experts say the raffles pose a problem for U.S. authorities even outside of the three states where they’re outright illegal. [read post]
25 Aug 2022, 9:03 pm
The post Week in Review first appeared on The Regulatory Review. [read post]
25 Aug 2022, 10:59 am
FINRA Censures and fines Kovack Securities in connection with Short-term Mutual Fund Trading According to a Letter of Acceptance Waiver and Consent this week, the Financial Industry Regulatory Authority (FINRA) censured and fined Kovack Securities (CRD # 44848) $210,000 for supervisory failures. [read post]
25 Aug 2022, 10:51 am
FINRA Reportedly Suspends Byron Martinsen for 15 Months after Allegations According to public records on August 19, 2022, the Financial Industry Regulatory Authority (FINRA) reportedly suspended broker Byron Martinsen for 15 months. [read post]
25 Aug 2022, 8:41 am
Update on Investigation: FINRA reportedly bars James Dunn after 22 Customer Complaints According to public records, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor James William Dunn Jr. [read post]
25 Aug 2022, 8:32 am
FINRA Censures and Fines Capital Investment Group Inc. for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on August 22, 2022, the regulator censured and fined Capital Investment Group Inc. $50,000 and ordered the firm to pay partial restitution of $64,800, plus interest. [read post]
24 Aug 2022, 9:38 am
Evan, who was reportedly fired in 2019 and barred by the Financial Industry Regulatory Authority (FINRA), allegedly aggressively sold variable annuities to his customers, while purportedly claiming not to be receiving commissions for the sale of those products, according to the regulator. [read post]
24 Aug 2022, 7:00 am
Retail Customers Are Each Requesting Up to Six Figures in Damages for Their Losses Our GWG L Bond loss attorneys continue to file Financial Industry Regulatory Authority (FINRA) arbitration claims against Centaurus Financial because its affiliated brokers unsuitably marketed and sold L Bond to customers, including inexperienced investors and retirees. [read post]
24 Aug 2022, 5:01 am
At the state level, examples of regulatory oversight of cybersecurity include the “safety and soundness examinations” conducted by New York State Department of Financial Services. [read post]
23 Aug 2022, 12:51 pm
This news came to light after the Financial Industry Regulatory Authority (FINRA) barred David Lerner broker Jeffrey Basford, in Westport, Connecticut last week. [read post]
