Home Tags FINRA

Tag: FINRA

Update and Correction: FINRA Panel Recommends Bar of Sandlapper Securities, CEO,...

Yesterday, The DI Wire reported that FINRA had expelled Sandlapper Securities and barred its chief executive officer Trevor Gordon and president Jack Bixler for...

FINRA Hearing Officer Recommends Expulsion of Sandlapper Securities

The Financial Industry Regulatory Authority's Office of Hearing Officers has determined that Sandlapper Securities, through its chief executive officer Trevor Gordon and president Jack...

SEC Charges 13 Unregistered Brokers for Selling Woodbridge Securities to Retail...

The Securities and Exchange Commission has charged an additional 13 individuals and 10 companies for unlawfully selling securities of Woodbridge Group of Companies LLC...

FINRA Report Cautions Broker-Dealers Against Inappropriate Sales of Non-Traded REITs, Private...

The Financial Industry Regulatory Authority issued its Report on FINRA Examination Findings on Friday in which they highlighted a pattern of firms and its associates...

Bluerock Residential Growth REIT Hires New Managing Director and Product Specialist

Bluerock Residential Growth REIT Inc. (NYSE: BRG), a publicly traded real estate investment trust that offers a preferred stock and warrants offering, has hired...

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...