Search for: "Financial Industry Regulatory Authority"
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29 Mar 2011, 9:50 am
The Financial Industry Regulatory Authority ( [read post]
29 Aug 2016, 12:53 am
Four candidates for the small-firm seat on the board of governors of the Financial Industry Regulatory Authority Inc. want to make the broker-dealer regulator responsive to the compliance pain their sector is feeling.Candidates for Finra board want greater focus on regulatory pain of small firms: [read post]
14 Apr 2019, 5:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Menna’s customer complaints allege that Carver made unsuitable recommendations. [read post]
24 Mar 2021, 7:33 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Mark Larry Delgadillo from the securities industry for one month. [read post]
11 Jan 2021, 11:45 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor John Frederick Griner from the securities industry for 15-business days and fined him $15,000. [read post]
19 Jul 2012, 12:08 pm
He focuses his practice on regulatory inquiries and investigations involving the SEC and the Financial Industry Regulatory Authority. [read post]
16 Aug 2021, 9:12 am
Vanderbilt Financial Advisor Accused of Using “Worst” Sales Tactics to Sell GPB Investments If you suffered financial losses while working with Vanderbilt Financial registered representative Jeffrey Lewis Gitterman, you may have grounds for pursuing damages through Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
4 Sep 2018, 2:24 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) Woodstock Financial Group, Inc. [read post]
24 Apr 2018, 10:46 am
This information, which is publicly available on the Financial Industry Regulatory Authority’s website, has been provided by The White Law Group. [read post]
10 May 2023, 9:59 am
In a recent regulatory case, on May 5, 2023, the Financial Industry Regulatory Authority (FINRA) Office of Hearing Officers imposed sanctions on Centaurus Financial, Inc. and its financial advisor Donnie Ingram for engaging in unsuitable and unethical practices, as well as supervisory failures. [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
14 May 2018, 8:54 am
We published an article with Thomson Reuters Practical Law summarizing key employment issues for financial services employers, highlighting those rules applicable to registered representatives regulated by Financial Industry Regulatory Authority (FINRA). [read post]
7 Mar 2019, 3:47 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, and the State of Massachusetts are investigating GPB Capital Holdings LLC (“GPB”) in probes reportedly concerning the accuracy of GPB’s disclosures of financial information to their investors. [read post]
20 Jul 2018, 12:52 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jack Owens (Owens) left his employer Gradient Securities, LLC (Gradient Securities) in June 2018 on the heels of numerous customer complaints and regulatory sanctions. [read post]
20 Jul 2018, 12:52 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jack Owens (Owens) left his employer Gradient Securities, LLC (Gradient Securities) in June 2018 on the heels of numerous customer complaints and regulatory sanctions. [read post]
15 Apr 2018, 6:10 am
For 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 hearing, and without an adjudication of any issue, Instinet, LLC, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
4 Dec 2018, 1:56 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Doraine concern allegations of unsuitable investments in Puerto Rican bonds and mutual funds. [read post]
31 Jan 2019, 12:59 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Aziz’s customer complaints allege that Aziz made unsuitable recommendations in a variety of investments. [read post]
11 Jan 2012, 7:53 am
All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority) (f/k/a the NASD). [read post]
5 Jun 2018, 1:03 pm
Wade – US Bancorp Investments – Fullerton, CA According to the Financial Industry Regulatory Authority (FINRA), the regulator has permanently barred John D. [read post]
