Tag: The Financial Industry Regulatory Authority
PIABA Continues Campaign to Reform Broker Expungement Process
The Public Investors Advocate Bar Association, a 501(c)(6) non-profit international bar association, and its sister 501(c)(3) charitable organization, the PIABA Foundation, announced in an...
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 Bars Former PFS Investments Broker for Stealing $100,000 from Client
The Financial Industry Regulatory Authority has barred former PFS Investments broker Daniel Winger for stealing funds from an elderly client. Winger first entered the...
FINRA Suspends Former Baird Broker for Borrowing $70,000 from a Client
The Financial Industry Regulatory Authority issued a five-month suspension and $10,000 fine against broker Patrick Jermaine Phillips for borrowing funds from a client and...
FINRA Bars Broker for Improper REIT Recommendations
The Financial Industry Regulatory Authority has barred a former Independent Financial Group broker for making unsuitable alternative investment recommendations to many of his senior...
FINRA Issues Complaint Against MetLife Rep for Controlling Elderly Client’s Finances
The Financial Industry Regulatory Authority has filed a complaint against former MetLife Securities (now MML Investors Services LLC) advisor Peter Orlando for improperly obtaining...
FINRA Censures Three Credit Suisse Execs
The Financial Industry Regulatory Authority is requiring Michael Dryden, Jay Kim and Peter Sack, three managing directors at Credit Suisse Securities, to retake their...
