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FINRA Bars Former Cambridge Broker for Allegedly Stealing Trust Funds

The Financial Industry Regulatory Authority has barred former Cambridge broker, William J. Michero, who was fired by the broker-dealer for allegedly misappropriating trust funds...

Regulatory Overreach – Pushing Back Against the SEC and FINRA

By: Publius Editor’s note: The author of the following guest article is a chief executive officer in the financial services industry, who, for fairly obvious...

FINRA Bars Broker Accused of Stealing from Elderly Client

The Financial Industry Regulatory Authority has barred former NYLife Securities broker, Jeffrey Scott Anderson, who was accused of stealing approximately $26,600 from an elderly...

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Domain Names

The Financial Industry Regulatory Authority has issued Regulatory Notice 21-30 warning firms of an ongoing phishing campaign that involves fraudulent emails purporting to be...

FINRA Suspends Fired Merrill Lynch Broker Accused of “Improperly Applying” for...

The Financial Industry Regulatory Authority has suspended Evelyn Batista, a former Merrill Lynch registered representative who reportedly made “reckless misrepresentations” in a loan application...

FINRA Expands Filing Requirements for Private Placements

The Financial Industry Regulation Authority has expanded its filing requirements relating to private placements to include retail communications. The new filing requirements become effective...

FINRA Bars Former Wells Fargo Rep Accused of Transferring Client Funds...

The Financial Industry Regulatory Authority has barred former Well Fargo advisor, Tyler Michael Rigsbee, who was reportedly fired after the firm found that client...

FINRA Bars Longtime Broker for Failing to Cooperate with Investigation

The Financial Industry Regulatory Authority has barred Nathan Gersteen Katz, a longtime broker who entered the industry in 1977, for failing to cooperate with...

FINRA Alerts Firms to New Phishing Campaign Using Fraudulent Email

The Financial Industry Regulatory Authority has issued Regulatory Notice 21-20 warning firms of an ongoing phishing campaign that involves fraudulent emails that appear to...

FINRA Bars Former Hornor Townsend Broker for Breaking into Firm and...

Following a hearing panel decision, the Financial Industry Regulatory Authority has barred former Hornor, Townsend & Kent broker, Christopher Peter Tranchina, after he purportedly...