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FINRA Bars Former Quest Capital Broker for Selling Woodbridge Promissory Notes

The Financial Industry Regulatory Authority has barred former Quest Capital broker Frank Dietrich for selling his clients more than $10.8 million in promissory notes...

Former Royal Alliance Adviser Pleads Guilty to Criminal Fraud Charges

Kimberly Kitts, a former Royal Alliance financial adviser, pleaded guilty to criminal charges filed by the U.S. Attorney for the District of Massachusetts. Kitts...

Centaurus Financial Names New Corporate Counsel

Centaurus Financial Inc., an independent broker-dealer, has hired Michael West to serve as corporate counsel to the firm. Prior to joining Centaurus, West spent nine...

SEC Charges Former Next Financial Adviser with $3.9 Million Fraud

The Securities and Exchange Commission has charged a former Next Financial registered representative and investment adviser in Altoona, Pennsylvania, with operating a long-running offering...

FINRA Fines LPL Nearly $2.8 Million for Complaint Reporting Violations and...

The Financial Industry Regulatory Authority has fined LPL Financial LLC $2.75 million for complaint-reporting and anti-money laundering program failures that spanned a period of...

FINRA’s NAC Upholds Sanctions Against Broker Charged with Misleading Native American...

FINRA’s National Adjudicatory Council, a committee that reviews initial decisions made in FINRA disciplinary proceedings, has upheld a decision involving Gopi Vungarala, a former...

HC Government Realty Trust Buys FBI Resident Agency Office in Champaign,...

HC Government Realty Trust Inc., a Regulation A REIT that invests in federally-leased properties, has purchased a Federal Bureau of Investigations resident agency office...

FINRA Suspends and Fines Former Raymond James Broker for Accepting Monetary...

The Financial Industry Regulatory Authority has suspended and fined a Robert Edward White, a former Raymond James broker, for accepting $58,000 in monetary gifts...

FINRA: Number of Broker-Dealers and Registered Reps Decline for Second Year

The Financial Industry Regulatory Authority has published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and...

Brian Kovack Launches FINRA Board Re-Election Campaign

Brian Kovack, president and co-founder of independent broker-dealer Kovack Securities Inc., is running for re-election to the mid-size firm seat on the FINRA board...