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Summit to Drop Broker-Dealer Status and Join Another Cetera Firm

Summit Brokerage, an independent broker-dealer within the Cetera Financial Group network, is dropping its broker-dealer status and will join another Cetera firm, Cetera Advisor...

FINRA Bars Raymond James Compliance Associate for Doctoring Branch Audit Forms

The Financial Industry Regulatory Authority has barred a former Raymond James & Associates Inc. compliance associate for allegedly falsifying firm branch audit data to...

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...

Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

The Massachusetts Securities Division plans to enter the state fiduciary rulemaking ring and is seeking preliminary comment on a proposed regulation that would apply...

FSI Comments on New Jersey’s Proposed Fiduciary Rule

The Financial Services Institute, a trade group representing independent financial advisors and financial services firms, has submitted a 12-page comment letter to the New...

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...

Federal Jury Convicts Broker and Investment Adviser on 21 Counts of...

Leon Vaccarelli, a Connecticut-based broker and investment adviser previously charged by the Securities and Exchange Commission, was found guilty by a federal jury on...

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...