Search for: "Financial Industry Regulatory Authority"
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25 Jul 2016, 3:05 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
27 Jun 2017, 6:26 am
In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Richard Sampley of Atlanta, Georgia, a registered representative formerly with Raymond James, Morgan Keegan and UBS Financial submitted an acceptance, waiver and consent letter whereby he was suspended from association with any FINRA member for ten months, and assessed a fine of $15,000. [read post]
4 Jun 2021, 10:22 am
Former Vancouver, Washington Financial Adviser Has 21 Disclosures On Record Jeffrey Raymond Dixson, an ex-Madison Avenue Securities investment advisor and stockbroker, is the subject of at least 10 Financial Industry Regulatory Authority (FINRA) arbitration claims in which the customers are seeking damages for their GPB private placement losses. [read post]
7 Nov 2018, 6:25 am
According to BrokerCheck Records held by the Financial Industry Regulative Authority (FINRA), Bowen has been subject to 13 customer disputes, one financial action, one regulatory action, termination from employment, and a civil lien. [read post]
18 Sep 2023, 6:49 am
One such case that recently came to light from the Financial Industry Regulatory Authority (FINRA) Disciplinary Actions report is that of Blake Adam Levy. [read post]
15 Jul 2016, 2:31 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
4 Aug 2022, 7:00 am
Claimant files FINRA arbitration claim for up to six figures in damages A Houston, Texas investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Centaurus Financial after he sustained losses in GWG Holdings L Bonds. [read post]
27 Jun 2017, 5:08 am
In December, 2016, the Financial Industry Regulatory Authority (“FINRA”) announced that Kenley Brisard of Weston, Florida, a registered representative formerly with Ridgeway & Conger and Gunn Allen Financial submitted an acceptance, waiver and consent letter whereby he was barred from association with any FINRA member in any capacity. [read post]
24 Oct 2017, 5:35 am
The Financial Industry Regulatory Authority (FINRA) has ordered Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC to pay more than $3.4 million in restitution to customers for alleged unsuitable recommendations of volatility-linked exchange-traded products (ETPs) and supervisory failures, according to InvestmentNews. [read post]
15 Oct 2020, 6:33 am
In the Financial Industry Regulatory Authority (FINRA) arbitration case, brought in June, the claimant contends that Perri made negligent misrepresentations while selling investments that were unsuitable. [read post]
1 Jun 2023, 9:45 pm
When Retirees Are Targeted By Brokers in Ponzi Scams Oppenheimer Must Pay Almost $14M Related to A$110M Scheme Run By Former Financial Advisor John Woods A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Oppenheimer & Co. to pay five Florida retirees and two trusts nearly $14M in losses they sustained in the $110M Horizon Private Equity III Ponzi scam run by its former Atlanta broker John J. [read post]
10 Jun 2022, 7:28 am
In July 2021, claimants filed a Financial Industry Regulatory Authority (FINRA) arbitration claim for $250K in damages. [read post]
23 Jul 2024, 8:43 pm
The Financial Industry Regulatory Authority (FINRA) suspended him for three months after finding that he purportedly violated customers’ best interests when he allegedly engaged in mutual fund switching that resulted in excessive sales fees for two older investors. [read post]
23 Jul 2024, 8:32 pm
Financial Advisor Fraud Allegations Continue To Follow Broker Bill Shopoff Our Shopoff Investor Loss Attorney Team Continues To Investigate Customer Claims More than four years after the Financial Industry Regulatory Authority (FINRA) filed a case accusing William Shopoff (Bill), Shopoff Securities, and Stephen Shopoff for allegedly running a $12.5M Ponzi scam, allegations of broker fraud continue to be brought by former customers. [read post]
6 Jun 2015, 10:24 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker David Persaud (Persaud) a/k/a Dwarka Persaud has been the subject of at least 5 customer complaints and one regulatory action over the course of his career. [read post]
3 Apr 2012, 7:57 am
CFPB has supervisory, rulemaking, and regulatory authority over banks with over $10 billion in assets. [read post]
9 Feb 2017, 4:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Linda Dowd. [read post]
9 Feb 2017, 4:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Linda Dowd. [read post]
13 Dec 2015, 7:19 am
In addition, The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2015046156301) against Slater. [read post]
15 Apr 2015, 7:50 am
Currently, the privilege and confidentiality protections only apply to information shared with state and federal regulatory officials with mortgage industry oversight authority. [read post]
