Search for: "Financial Industry Regulatory Authority"
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29 Jun 2018, 7:48 am
Publicly available records published by the Financial Industry Regulatory Authority (FINRA) state that former Texas-based Morgan Stanley broker/adviser Vicente Davila, who has received a customer dispute, was discharged from Morgan Stanley in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. [read post]
9 May 2024, 9:01 pm
It is based on the firm’s memorandum, “Significant State Regulatory Development in the Virtual Currency Industry in California and New York,” dated April 30, 2024, and available here. [read post]
19 Sep 2022, 12:34 pm
Securities firms must register with the Financial Industry Regulatory Authority (FINRA). [read post]
6 Jun 2012, 9:49 am
A recent report released by the Government Accountability Office (“GAO”) last week concluded that the SEC can improve its oversight of the Financial Industry Regulatory Authority (“FINRA”), a self-regulatory organization charged with policing securities broker-dealers. [read post]
6 Jun 2012, 9:49 am
A recent report released by the Government Accountability Office (“GAO”) last week concluded that the SEC can improve its oversight of the Financial Industry Regulatory Authority (“FINRA”), a self-regulatory organization charged with policing securities broker-dealers. [read post]
16 Sep 2014, 7:15 am
The Financial Industry Regulatory Authority (FINRA) brought a complaint against broker Anthony Diaz (Diaz) concerning a host of industry violations. [read post]
10 Oct 2023, 3:53 pm
FINRA (The Financial Industry Regulatory Authority Inc.) has been penalizing broker-dealers for their involvement in selling high-risk GPB private placements, which were limited partnerships investing in income-producing businesses. [read post]
3 Dec 2018, 1:44 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jon Pariser (Pariser), formerly associated with Independent Financial Group, LLC (Independent Financial) in Pacific Grove, California was sanctioned by FINRA resulting in a bar from the industry. [read post]
31 May 2015, 7:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Patrick McGrath (McGrath) has been the subject of at least four customer complaints, two regulatory actions, and one termination over the course of his career. [read post]
13 Oct 2015, 6:32 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Bennett Broad (Broad) has been the subject of an astonishing 28 customer complaints and one regulatory matter over the course of his career. [read post]
16 Jul 2018, 7:37 am
The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Charles Lundell (Lundell). [read post]
13 Jun 2018, 10:16 am
The Financial Industry Regulatory Authority (FINRA) recently barred former MML Investors Services broker Brian Travers from the industry. [read post]
9 Oct 2009, 4:00 am
Financial Industry Regulatory Authority (FINRA) posted a regulatory notice on proposed new rules governing member communications with the public: Regulatory Notice 09-55. [read post]
14 May 2018, 10:16 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Westport Capital Markets broker Emil Skyba violated securities laws. [read post]
6 Nov 2019, 1:19 pm
The appeals court found that the Financial Industry Regulatory Authority (FINRA) panel acted unreasonably when it refused to delay the rest of the arbitration proceedings after the firm’s ex-financial analyst, Bradley Sayre, and his lawyer both had medical emergencies. [read post]
7 Sep 2013, 1:06 pm
In a letter to CEOs of financial institutions authorized to operate in Hong Kong, the HKMA advised that, if the financial firms conclude that any overseas tax regime changes may have implications for their customers and operations, they should put in place process and controls to ensure compliance and develop good practices through industry collaboration if appropriate. [read post]
5 Feb 2013, 9:55 am
According to reports, the Financial Industry Regulatory Authority’s municipal market priority this year will be to ensure that brokers/financial advisors adequately disclose the risks associated with tax-exempt bonds backed by revenue from private and nonprofit entities. [read post]
27 Dec 2017, 7:35 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), in August 2017 a customer filed a complaint alleging that Schneider made unsuitable recommendations, over-concentration of accounts, and failed to supervise. [read post]
14 Mar 2016, 8:27 am
The securities fraud lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Bahram Mirhashemi (Mirhashemi). [read post]
9 Dec 2009, 9:14 am
FINRA is offering unpaid externships for graduate students in its Washington, DC office. [read post]
