Search for: "Financial Industry Regulatory Authority"
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4 Oct 2011, 8:22 am
On September 27, 2011, the Financial Industry Regulatory Authority (andquot;FINRAandquot;) obtained by Acceptance Waiver andamp; Consent (andquot;AWCandquot;), a permanent bar against former Wachovia Securities, L.L.C. and Wells Fargo Securities, L.L.C. stockbroker, Tom D. [read post]
29 Mar 2021, 9:55 am
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Jeremy Taylor Johnson from the securities industry. [read post]
26 Jun 2018, 6:43 am
The Financial Industry Regulatory Authority (FINRA) has fined former AXA Advisors broker, $5,000 and suspended her from associating with any FINRA member in all capacities for 18 months for alleged securities laws violations. [read post]
24 Apr 2018, 7:33 am
Parker on Misappropriating Client Funds According to the Financial Industry Regulatory Authority (FINRA), on February 16, the regulator issued a letter of Acceptance, Waiver and Consent, in which Marcus D. [read post]
19 Jul 2016, 1:33 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
14 Sep 2020, 9:42 am
Family Trust to Receive Compensatory Damages From Broker-Dealer In its Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates and former broker Paul Anthony Steffany, the Angelina J. [read post]
12 Dec 2019, 5:49 am
GPB Capital Fraud Victim To Have Case Heard By FINRA An investor who lost significant sums after she was sold GPB Capital private placements by an Arkadios Capital broker will get her case heard before a Financial Industry Regulatory Authority arbitration (FINRA) panel in April 2020. [read post]
2 Feb 2016, 11:51 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Honetta Kao (Kao). [read post]
19 Jan 2012, 7:46 am
Numerous civil complaints filed with the Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) reveal that a number of retirees from National Grid/Niagara Mohawk have fallen prey to improper investment sales tactics by financial advisors and stockbrokers. [read post]
9 Nov 2011, 9:00 pm
Numerous civil complaints filed with the Office of Dispute Resolution of the Financial Industry Regulatory Authority (FINRA) reveal that a number of retirees from National Grid/Niagara Mohawk have fallen prey to improper investment sales tactics by financial advisors and stockbrokers. [read post]
4 Nov 2010, 11:43 am
Plenty of challenges await the new Congress and the President, but I think it is clear that politicians, along with financial regulatory authorities and agencies, should not lose sight of the need for continued, robust international cooperation in financial market regulation. [read post]
26 Jan 2009, 2:02 pm
By Dan Jamieson January 26, 2009, 3:31 PM ESTThe enforcement division of the Financial Industry Regulatory Authority Inc. is looking into how brokerage firms refer investors to money managers.OAS_RICH("Middle"); A Jan. 15 letter from the enforcement department, sent to an unknown number of firms, also asks specific questions about referrals made to Bernard L. [read post]
4 Oct 2013, 3:24 pm
The Financial Industry Regulatory Authority (“FINRA”) is reportedly considering whether to require brokerage firms to purchase and maintain errors and omissions insurance policies that would be used to pay investors following arbitration. [read post]
24 Feb 2015, 1:47 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond Ja... [read post]
20 Nov 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Tracy Wengert (Wengert) (FINRA No. 2015044289201) resulting in a bar from the securities industry alleging that Wengert failed to provide FINRA staff with information and documents requested. [read post]
10 Nov 2015, 5:45 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Ralph Savoie (Savoie) (FINRA No. 2015046239401) resulting in a bar from the securities industry alleging that Savoie failed to provide FINRA staff with information and documents requested. [read post]
26 Feb 2019, 6:25 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the customer complaints against Lamendola concern allegations over variable annuity sales practices. [read post]
20 Jun 2019, 9:18 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Forrester’s customer complaints allege that Forrester recommended unsuitable securities recommendations in a variety of products including alternative investments among other allegations of misconduct in the handling of customer accounts. [read post]
22 Apr 2009, 2:31 am
In light of the current financial crisis, the CEA, the European Insurance and Reinsurance federation, has stressed the importance of reforming the regulation and supervision of the financial services industry. [read post]
Sanctuary Wealth To Pay $530K Over Alleged Supervisory Failures Involving Exchange-Traded Fund Sales
26 Jul 2021, 7:16 am
., has been censured by the Financial Industry Regulatory Authority (FINRA). [read post]
