Search for: "Financial Industry Regulatory Authority"
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10 Sep 2019, 1:57 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), Johnston, formerly registered with Capital Financial Services, Inc. [read post]
17 Jan 2012, 1:25 pm
Brokerage firms that sell nontraded REITs reportedly “cringe” at Investor Alerts posted by the Financial Industry Regulatory Authority (FINRA) warning of the dangers of those products. [read post]
27 Dec 2011, 10:25 am
The Financial Industry Regulatory Authority (FINRA) has fined Barclays Capital $3 Million for misrepresentations it made regarding historical delinquency data in connection with the issuance of residential subprime mortgage securitizations (RMBS) and its failure to adequately supervise the maintenance and updating of relevant disclosures on its website. [read post]
24 Oct 2008, 12:52 am
The Financial Industry Regulatory Authority has announced that SunTrust Investment Services Inc. has agreed to pay a $700,000 fine to settle allegations that it engaged in supervisory violations involving its fee-based brokerage business and charged excessive commissions on low-priced stocks. [read post]
2 Dec 2008, 6:25 pm
FINRA, the Financial Industry Regulatory Authority, has revealed its Dispute Resolution Statistics through October 2008. [read post]
4 Aug 2011, 4:06 pm
FINRA (Financial Industry Regulatory Authority) recently raised an issue concerning excessive postage and handling fees being charged by a number of small and mid-sized broker-dealers. [read post]
30 Oct 2014, 3:10 am
Here is just another example: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 heari... [read post]
3 Dec 2017, 9:39 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Broker Tommy Mai (Mai). [read post]
9 Jan 2023, 10:11 am
On November 2, 2022, the Financial Industry Regulatory Authority (FINRA), in a regulatory proceeding against Wedbush Securities, found that, from January 2013 to December 2018, it sent account statements to 610 customers which negligently misrepresented that certain corporate and municipal bonds were making their interest and principal payments when, in fact, the bond was in default. [read post]
4 Jan 2024, 10:56 am
” Petrone allegedly failed to provide the requested documents in an investigation by the Financial Industry Regulatory Authority Inc. [read post]
23 Mar 2021, 9:35 am
The Financial Industry Regulatory Authority (“FINRA”) has barred compliance officer Corey White from the securities industry and fined him $20,000. [read post]
19 Mar 2008, 5:14 am
The authority has been weakened to some degree. [read post]
2 Jul 2024, 4:00 am
Bank Regulatory Counsel Resource Kit and In-House Banking and Financial Services Resource Kit provide links to practice notes, checklists, articles, and guidance on key issues, laws, and regulations applicable to financial institutions. [read post]
29 Oct 2019, 8:56 am
Last week, a New York City panel of arbitrators with the Financial Industry Regulatory Authority (FINRA) unanimously awarded an investor represented by Malecki Law over $200,000 in damages, plus attorneys’ fees of $67,000 and 5% interest dating back to May 2018. [read post]
19 May 2014, 4:42 am
The Financial Industry Regulatory Authority (FINRA) recently barred LPL Financial, LLC (LPL) broker Reniero Francisco (Francisco) concerning allegations that the broker failed to cooperate with FINRA’s investigation of Francisco’s involvement with Arista LLC, a registered Commodity Pool Operator (CPO) with its principal place of business in Newport Coast, California. [read post]
20 Apr 2021, 7:04 am
FINRA Panel’s Ruling is UBS Financial’s Third Loss Involving Yield Enhancement Strategy In a Financial Industry Regulatory Authority (FINRA) arbitration ruling, UBS Financial Services (UBS) must pay an Ohio couple $371K for financial losses they sustained from the brokerage firm’s Yield Enhancement Strategy (YES). [read post]
16 Feb 2016, 9:30 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Kyle Harrington (Harrington). [read post]
30 Jul 2024, 8:00 am
Review questions and answers from leading law firms on topics ranging from regulatory authority and statutory requirements to potential sanctions or civil penalties for violations, across jurisdictions. [read post]
2 Sep 2015, 7:38 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Michael Fasciglione (Fasciglione) has been the subject of at least 11 customer complaints and two regulatory actions. [read post]
30 Jan 2012, 11:42 am
All-public arbitration panels have proved to be a popular combination for investors who’ve filed securities-related complaints with the Financial Industry Regulatory Authority (FINRA). [read post]
