Search for: "Financial Industry Regulatory Authority"
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17 Dec 2017, 9:07 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Jerry Guttman (Guttman), operating under the d/b/a Guttman Financial Group, in November 2017, was barred from the financial industry by FINRA concerning allegations that he sold more than $7,000,000 worth of membership interests in at least six different limited liability companies to 38 customers without proper disclosure. [read post]
24 Nov 2010, 12:01 am
We have reported previously on the proposed overhaul of the European Financial Regulatory System (click here to see our previous post). [read post]
5 Jan 2017, 7:21 am
Nelson, J.D. discusses the impact of the election on the Dodd-Frank Act and federal regulation of the financial services industry. [read post]
2 Jul 2018, 2:43 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Osbert Haynes (Haynes), currently employed by Laidlaw & Company (UK) Ltd. [read post]
21 Apr 2019, 10:14 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Bennett has been accused by multiple customers of unsuitable investment advice concerning various investment products including energy stocks most likely including master limited partnerships (MLPs). [read post]
28 Jan 2012, 9:29 pm
A Financial Industry Regulatory Authority panel wants Citigroup to pay financial advisor siblings Robert Vincent Minchello and James Bryan Minchello, as well as administrator Martha Jane Sullivan, $24 million. [read post]
18 Jul 2016, 1:53 pm
This month, Malecki Law attorneys were awarded full net out-of-pocket damages of $142,168.00 by a Financial Industry Regulatory Authority (FINRA) Arbitration Panel. [read post]
12 Feb 2008, 9:19 am
FINRA (the Financial Industry Regulatory Authority) has issued Regulatory Notice 07-59 relating to electronic communications, such as email, instant messaging, text messaging, weblogs and podcasting, which financial services firms and their employees may use to conduct business. [read post]
14 Oct 2021, 11:58 am
FINRA Bars Nick Palumbo after Allegations of “Selling Away” According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Nicholas R. [read post]
3 Nov 2021, 8:07 am
FINRA Bars James Seijas after Allegations involving Q3 Trading Club Ponzi Scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Seijas (CRD#: 2392901) when he failed to provide information in its investigation after Seijas was “named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a… [read post]
1 Jul 2021, 6:40 am
FINRA Bars Matthew Alexander Perry (Alex Perry) after Allegations of Unauthorized & Unsuitable Trades According to public records, the Financial Industry Regulatory Authority (FINRA) has reportedly barred Matthew Alexander Perry (CRD #5985300) of Columbia MO after he purportedly failed to provide information in its investigation of alleged misconduct. [read post]
8 Dec 2022, 7:29 am
Sec. 5301) (e.g. the SEC for registered brokers or dealers) or, if Section 2 does not assign a “primary financial regulatory agency,” the FDIC. [read post]
22 Mar 2016, 6:19 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Susan Moore (Moore). [read post]
2 Jun 2015, 4:51 pm
On May 14, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) filed a complaint (the “Complaint”) against ARI Financial Services, Inc. [read post]
24 Jan 2019, 1:59 pm
On January 22, 2019, the Financial Industry Regulatory Authority (“FINRA”) released its 2019 Risk Monitoring and Examination Priorities Letter (Regulatory Notice No. 18-20) in which it identifies topics FINRA will focus on in the coming year. [read post]
18 Jan 2023, 9:51 pm
Most recently, this has included either investigating and/filing Financial Industry Regulatory Authority (FINRA) lawsuits involving: Northstar Financial Services (Bermuda) annuities and other products Continue Reading › The post Non-Traded Securities Litigation Lawyers appeared first on Investor Lawyers Blog. [read post]
27 Jun 2018, 9:33 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), former Independent Financial Group broker Kyusun Kim has violated securities laws and internal firm rules. [read post]
10 Mar 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned broker Kwok Chiu (Chiu) concerning allegations that between March and June 2013, while associated with Merrill Lynch, Pierce, Fenner & Smith Incorporated (Merrill Lynch), Chiu exercised discretionary power in two customer accounts with only oral authorization by making 162 transactions without obtaining prior written authorization from the customers. [read post]
25 Jun 2024, 11:25 am
FINRA Bars Raymond James Advisor Bryan Noonan after allegations of Selling Away According to public documents on June 24, 2024, The Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Bryan Noonan from working in the securities industry. [read post]
4 Jun 2021, 7:31 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Nicholas Palumbo from the securities industry. [read post]
