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FINRA Bars Former Cetera Advisors Rep

Financial Industry Regulatory Authority has barred former Cetera Advisors representative George C. Merhoff Jr. for failing to provide documents and information to the regulators...

FINRA Bars Former LPL Rep

Financial Industry Regulatory Authority has barred former LPL Financial representative Jason Nelson for refusing to provide testimony to regulators in connection with his termination...

SEC Bars Former Royal Alliance Adviser Sentenced for Multi-Million Dollar Fraud

The Securities and Exchange Commission has barred Kimberly Kitts, a former Royal Alliance adviser, who pleaded guilty late last year to criminal charges including...

FINRA Bars Former Commonwealth Broker for Refusing to Provide Documents to...

The Financial Industry Regulatory Authority has barred Benjamin Frank Bourgeois, a former Commonwealth Financial broker, for refusing to produce documents and information requested by...

FINRA Bars Former LPL Broker for Refusing to Testify at Hearing

The Financial Industry Regulatory Authority has barred Philip Nalesnik, a former LPL Financial rep, for refusing to provide on-the-record testimony to the regulators into...

FINRA Fines Woodbury $225,000 Over Variable Annuity Supervision Issues

The Financial Industry Regulatory Authority has fined Woodbury Financial Services, an independent broker-dealer in the Advisor Group network, for not having a system in...

FINRA Fines AXA for Misrepresenting Junk Bond Funds as Investment-Grade

The Financial Industry Regulatory Authority has fined AXA Advisors $600,000 for allegedly misrepresenting the credit quality of certain bond funds offered within group annuity...

FINRA Bars Former Cambridge Broker for Misusing Client Funds

The Financial Industry Regulatory Authority has barred Anselmo Contreras Jr, a former Cambridge Investment Research broker accused of converting client funds that were intended...

FINRA Seeks Comment on New Broker Misconduct Rule

The Financial Industry Regulatory Authority is requesting comment on a new proposed rule that would target and impose financial obligations on brokerage firms with...

FINRA Suspends Former High-Profile LPL Broker for Borrowing Money from Client

The Financial Industry Regulatory Authority has suspended and fined James Bashaw, a former LPL Financial broker, for borrowing approximately $200,000 from an LPL customer...