Search for: "Financial Industry Regulatory Authority"
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19 Feb 2021, 1:06 pm
FINRA Reportedly Bars Broker Scott Reed after Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has barred financial advisor Scott Wayne Reed (CRD #3007033) from the securities industry after he reportedly failed to provide information in FINRA’s investigation into circumstances of his termination from his member firm. [read post]
22 Sep 2021, 10:28 am
after Failure to Provide Information in its Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Ronald Joseph Giovino, Jr. [read post]
13 Dec 2019, 11:47 am
INDUSTRY TO FACE FRESH WAVE OF UNPAID ARBITRATION CLAIMSThe Financial Industry Regulatory Authority Inc (FINRA)., along with the rest of the securities industry, is staring at a fresh wave of unpaid and embarrassing arbitration awards against it. [read post]
22 Apr 2019, 7:20 am
The Financial Industry Regulatory (FINRA) announced that it is barring former Aegis Capital broker James Schwartz for allegedly churning four clients’ accounts. [read post]
15 Jan 2010, 9:36 am
However, FINRA (the Financial Industry Regulatory Authority) is concerned that investors mistakenly may believe that these investment products are risk-free. [read post]
17 Feb 2016, 6:54 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has barred two Buffalo, New York-based brokers from the securities industry for fraud in connection with the sale of a hedge fund, the Prestige Wealth Management Fund LP. [read post]
26 Oct 2021, 2:00 am
FINRA Claims Former Financial Advisor Also Cost Investors Over Variable Annuities The Financial Industry Regulatory Authority (FINRA) has filed a complaint accusing ex-Western International Securities registered representative Megurditch Mike Patatian of unsuitably recommending to 59 customers that they purchase non-traded real estate investment trusts (non-traded REITs). [read post]
19 Oct 2023, 10:50 am
Understanding FINRA’s Settlement Agreement: Acceptance, Waiver, and Consent (AWC) FINRA, which stands for the Financial Industry Regulatory Authority, is a self-regulatory organization in the United States that plays a critical role in regulating the securities industry. [read post]
16 Aug 2012, 2:24 pm
The Financial Industry Regulatory Authority's (“FINRA's”) new suitability mandates impose critical obligations. [read post]
4 Sep 2013, 3:14 am
If nothing else, such litigation after death gives a lot of lawyers an opportunity to earn legal fees.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in April 2012, Claimant GunnAllen Financial, Inc. by and through Soneet R. [read post]
30 Nov 2023, 11:58 am
The Role of Regulatory Boards Regulatory boards exist to maintain high professional standards within different industries. [read post]
5 Feb 2024, 6:10 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Ginn’s customer complaint alleges that Gin engaged in excessive trading or churning of investor accounts among other allegations of misconduct relating to the handling of their accounts. [read post]
8 Feb 2010, 6:04 am
On January 11, 2010, the Financial Industry Regulatory Authority (FINRA), which is the so-called self-regulatory organization responsible for regulating brokerage firms’ sales practices, laid off five senior enforcement officials, according to a recent Wall Street Journal article by Suzanne Barlyn. [read post]
22 Aug 2014, 10:06 am
On August 15, 2014, a three (3) member Financial Industry Regulatory Authority (“FINRA”) arbitration panel found Morgan Stanley & Co., Inc. [read post]
28 Jul 2017, 6:48 am
Kim Dee Isaacson Barred for Allegations of Unauthorized Trades According to reports, The Financial Industry Regulatory Authority’s enforcement unit has permanently barred former Morgan Stanley broker Kim Dee Isaacson for overstating a client’s account balance by as much as $3.1 million while reportedly making hundreds of unauthorized trades, according to a settlement order posted Wednesday. [read post]
8 May 2019, 6:51 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Bakalis’ customer complaints allege that Bakalis failed to disclose a non-traded REIT merger and forged client signatures on paperwork. [read post]
Portland Investor Files $500K Private Placement Fraud Claim Against Western International Securities
14 Apr 2021, 8:43 am
Claimant Alleges Overconcentration, Unsuitability, Failure to Supervise A Portland, Oregon semi-retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Western International Securities, Inc. and is seeking up to $500K in damages. [read post]
26 Jun 2017, 1:00 pm
Michael Babyak barred by FINRA In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Michael Babyak of Randolph, New Jersey, a registered representative formerly with Leigh Baldwin and LPL Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in any capacity. [read post]
27 Jul 2018, 8:00 am
John Bryant (CRD #3202048) was recently discharged by Wells Fargo over concerns about similar trading strategies in multiple customer accounts and has received a customer dispute according to publicly available records published by the Financial Industry Regulatory Authority (FINRA). [read post]
14 Dec 2011, 7:47 am
Opponents of a bill that would shift the oversight of investment advisors from the Securities and Exchange Commission (SEC) to another entity such as the Financial Industry Regulatory Authority (FINRA) are gratified that the introduction of the bill has been delayed for several months, according to an aide to House Financial Services Committee Chairman Spencer Bachus, R-Ala. [read post]
