Search for: "Financial Industry Regulatory Authority"
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6 Jan 2020, 6:02 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Philip Sparacino (Sparacino), formerly associated with First Standard Financial Company LLC (First Standard), has been subject to at least three customer complaints, one employment termination for cause, two financial disclosures, and two regulatory matters during his career. [read post]
9 May 2018, 9:00 am
Vaughn Lee Andrews-McKay – Pruco Securities – Investigation According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Vaughn Lee Andrews-McKay on May 3 from the securities industry. [read post]
2 Dec 2021, 7:03 am
Advisor Jesus Rodriguez of El Paso Barred after Allegations of Misappropriating Funds According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Jesus Rodriguez (CRD #4888685) after his member firm Morgan Stanley allegedly allowed him to resign on September 3. [read post]
12 Jan 2021, 10:11 am
This expansion will allow department representatives to work proactively with entrepreneurs and create a regulatory framework for responsible, emerging financial products. [read post]
22 Apr 2011, 6:58 am
The Financial Industry Regulatory Authority (FINRA) has fined UBS Financial Services $2.5 million over PPNs, requiring the brokerage firm to pay $8.25 million in restitution for omissions and statements made to investors about the products. [read post]
24 Jan 2024, 7:34 am
FINRA Bars Michael Archimede after Allegations of Loan from Customer The Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Michael Archimede (CRD # CRD#: 5701306) from the securities industry after allegedly failing to provide information in an investigation. [read post]
13 Feb 2015, 6:50 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned former LPL Financial LLC (LPL) broker Marc Baldinger (Baldinger) concerning allegations that between August 2010 and November 2012, Baldinger participated in private securities transactions (a/k/a “selling away”) without prior approval of LPL. [read post]
26 Oct 2015, 7:16 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Lucian Hodgman (Hodgman) has been the subject of at least 4 customer complaints, 4 regulatory action, and three employment terminations. [read post]
27 Apr 2021, 1:39 pm
These investors recently filed an arbitration claim with the Financial Industry Regulatory Authority, alleging unsuitability, breach of fiduciary duty and failure to supervise. [read post]
7 May 2018, 11:21 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Michael Swingle violated securities laws and internal firm rules. [read post]
20 Aug 2021, 2:28 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Debasish Hajra from the securities industry for 30 calendar days. [read post]
5 Jan 2011, 12:18 pm
On December 29, 2010, the Financial Industry Regulatory Authority (FINRA) announced that it expelled APS Financial Corporation (APS), barred the firm's former President, George Conwill, and the firm's former broker, Peter Aman, for engaging in a scheme which overcharged an elderly investor by $1.2 million. [read post]
9 Jul 2019, 9:48 am
A Financial Industry Regulatory Authority (FINRA) panel is ordering Legend Securities, CEO Anthony Fusco, and three of the firm’s former brokers to pay one investor $966,708 in damages. [read post]
25 Mar 2020, 5:18 am
He was recently barred by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Apr 2017, 6:32 am
FINRA (Financial Industry Regulatory Authority) announced that the National Adjudicatory Council (NAC) revised guidelines regarding financial exploitation of vulnerable individuals or individuals with diminished capacity. [read post]
6 Oct 2011, 9:08 am
The Exchange Act does not authorize the Financial Industry Regulatory Authority (FINRA) to bring federal court actions to collect disciplinary fines it imposed on its members, ruled a panel of the Second Circuit Court of Appeals. [read post]
31 Oct 2016, 7:47 am
The investment fraud lawyers of Gana LLP are investigating the regulatory complaint filed by The Financial Industry Regulatory Authority (FINRA) involving former FSC Securities Corporation (FSC) broker Leonard Fox (Fox) out of the firm’s Marlton, New Jersey office. [read post]
23 Feb 2012, 2:09 am
In a Financial Industry Regulatory Authority (? [read post]
3 Jun 2022, 10:40 am
Former Spartan Capital Securities Broker Accused of Unauthorized Trading The Financial Industry Regulatory Authority (FINRA) has barred ex-Spartan Capital Securities registered representative Marc Augustus Reda. [read post]
23 Sep 2020, 2:00 pm
Stockbroker Marshall Owen Isaacson Named in Four Customer Complaints Since 2019 The Financial Industry Regulatory Authority (FINRA) recently barred Marshall Owen Isaacson, an ex- Newbridge Securities stockbroker based out of Boca Raton, Florida. [read post]
