Search for: "Financial Industry Regulatory Authority"
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7 Mar 2016, 9:44 am
The securities fraud lawyers of Gana LLP are investigating the regulatory action filed (Disciplinary Action No. 2014043025701) by The Financial Industry Regulatory Authority’s (FINRA) against broker Carlos Benavidez Jr (Benavidez). [read post]
17 Jul 2017, 1:07 pm
The investment fraud lawyers of Gana LLP are examining multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Scott Forrest Goldman (Goldman). [read post]
29 Jun 2016, 1:53 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
1 Jul 2016, 12:25 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
6 May 2022, 12:19 pm
Malecki, commented on two matters going on at the Financial Industry Regulatory Authority (FINRA). [read post]
17 Jan 2018, 6:21 am
The investment lawyers at Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Luigi Mancusi (Mancusi). [read post]
25 Sep 2015, 6:36 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (FINRA AWC No. 2013039506601) broker Gregory Gassoso (Gassoso) on allegations that in April 2013, Gassoso effected three unauthorized transactions in a customer’s account, resulting in a loss of approximately $1,500. [read post]
31 Oct 2018, 1:54 pm
For the third time this month, The Financial Industry Regulatory Authority has announced that it has barred yet another Morgan Stanley (MS) broker. [read post]
31 May 2012, 11:03 am
And the Financial Industry Regulatory Authority’s BrokerCheck database is a good place to start. [read post]
27 Jun 2016, 1:43 pm
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
26 Jun 2018, 6:48 am
Ameriprise can be held liable for investment losses with former broker Nicholas Hoetmer in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
30 May 2018, 9:26 am
BrokeAndBroker.com Blog readers know that our publisher Bill Singer Esq. is no fan of self-regulation or of Wall Street's leading self-regulatory-organization, the Financial Industry Regulatory Authority. [read post]
25 Feb 2021, 12:17 pm
The surprising thing about the matter is not that the Respondent got caught but the nature of FINRA's sanctions of the misconduct.Case In PointFor 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 ... [read post]
2 Feb 2017, 9:04 am
Then there's that bit of hypocrisy on the part of FINRA that renders the settlement as more than a bit . . . hmmm . . . what's the word that I'm looking for . . . oh, yeah . . . hypocritical.Case In PointFor 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… [read post]
12 Jun 2014, 5:47 am
In recent years, the Financial Industry Regulatory Authority (“FINRA”) has been on a tear about due diligence and the failure to supervise; and, frankly, you can't blame the self-regulatory organization given the recent history of disasters involving both of those issues. [read post]
20 Jul 2015, 3:15 am
Case In Point 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 NFP Advisor Services, LLC (f/k/a NFP Securities, Inc.) submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Apr 2017, 6:32 am
Case In PointFor 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, Christopher William Wingader submitted a Lett... [read post]
1 Dec 2014, 3:46 am
Thereafter, we have the mystical appearance of FINRA in the role of a somewhat forgiving regulatory angel -- some might say in the shape of a Jefferson Starship.Case In PointFor 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, Rick Dean Bianchi… [read post]
22 Oct 2015, 4:39 am
Bill Singer speaks to Martin Kaplan, partner with the law firm of Gusrae Kaplan Nusbaum, on the current "draconian" regulatory environment under the Financial Industry Regulatory Authority. [read post]
7 Mar 2017, 5:53 am
Case In Point 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, William L. [read post]
