Search for: "Financial Industry Regulatory Authority"
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22 Sep 2018, 10:41 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Alex Herrera (Herrera), formerly associated with UBS Financial Services Inc. [read post]
10 Sep 2018, 8:44 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred financial advisor Donna Barnard from the securities industry. [read post]
17 Jun 2015, 6:41 am
According to broker Michael Gates (Gates) Financial Industry Regulatory Authority (FINRA) BrokerCheck records the representative was recently sanctioned concerning allegations that from January 2011, through October 2011, he effected approximately 22 discretionary transactions for two firm customers without written authorization from the customers or approval from the firm. [read post]
16 Dec 2020, 7:08 am
Ex-LPL Broker Marketed Non-Traded Investments To Mississippi Retiree A retired investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against LPL Financial and its former broker, Tamber King Proctor, seeking up to $100K in damages. [read post]
23 Apr 2021, 11:49 am
Boutique Broker-Dealer Pays Another 7-Figures to Resolve Customer Disputes Independent brokerage firm Purshe Kaplan Sterling Investments, Inc. has agreed to settle another Financial Industry Regulatory Authority (FINRA) arbitration claim with investors. [read post]
13 May 2021, 7:11 am
He is currently named in two pending customer disputes, including one Financial Industry Regulatory Authority (FINRA) arbitration case over private placements in which the claimants are seeking $1.5M in damages. [read post]
5 Mar 2015, 6:12 am
The Financial Industry Regulatory Authority (FINRA) sanctioned and barred broker Gregg Beemer (Beemer) concerning allegations that Beemer engage in outside business activities including the sales of private securities. [read post]
21 Dec 2015, 11:43 am
Attorney’s Office for the District of New Jersey, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority’s Office of Fraud Detection and Market Intelligence.SEC Press Release [read post]
15 Oct 2015, 6:21 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Jeffrey Fladell (Fladell) has been the subject of at least 6 customer complaints, one regulatory action, and one criminal matter. [read post]
12 Oct 2015, 7:01 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker Francis Velten (Velten) has been the subject of at least eight customer complaints and one regulatory investigation over the course of his career. [read post]
17 May 2016, 7:03 am
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority (FINRA) against broker Edward Barger (Barger). [read post]
1 Feb 2016, 2:24 pm
The securities lawyers of Gana LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker James Starks (Starks). [read post]
1 Dec 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) McKinstry has been the subject of at least 5 customer complaints, 2 regulatory actions, and two employment terminations. [read post]
7 Jun 2019, 6:36 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), McClure’s customer complaints allege that McClure breached his fiduciary duty among other allegations. [read post]
26 Feb 2018, 3:30 am
., is a critic of mandatory arbitration before the Financial Industry Regulatory Authority, whether the coerced litigants are public customers or industry participants. [read post]
14 Nov 2014, 3:04 am
According to the homepage of The Financial Industry Regulatory Authority ("FINRA") Dispute Resolution:FINRA operates the largest dispute resolution forum in the securities industry to assist in the resolution of monetary and business disputes between and among investors, brokerage firms and individual brokers.In recent years, advocates for public investors have questioned the fairness of many of the policies and procedures of Wall… [read post]
24 Jul 2014, 7:32 am
In today's BrokeAndBroker.com Blog, we examine one such battle.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, and as amended thereafter, registered representative Claimant Prochorenko asserted defamation on his Uniform Termination Notice for Securities Industry Registr... [read post]
7 Jul 2017, 2:55 am
Regardless of whether it is a public customer or associated person, our publisher Bill Singer, Esq. has argued against forcing litigants to forfeit their right to pursue their grievances before a court and channeling them into a pipeline that feeds business to a handful of so-called alternative dispute resolution forums, most notably that of the Financial Industry Regulatory Authority. [read post]
18 Feb 2010, 2:56 pm
The two were fined $750,000 in December by the Financial Industry Regulatory Authority (FINRA) for making misleading statements and, in some instances, omitting facts in connection to sales of two private placement deals: Cornerstone Industrial Properties LLC and CIP Leveraged Fund Advisors LLC. [read post]
22 Feb 2018, 11:06 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Heather VanLandingham, a former Morgan Stanley representative, has been accused of violating securities laws and internal firm rules. [read post]
