Displaying 1932 results
Court upholds $3 million arbitration award against Spire Securities
Finra had ruled that the firm failed to supervise a broker who operated a Ponzi scheme.
Ex-Merrill Lynch broker wins $3.75 million arbitration award for defamation
Finra panel said Jeffrey T. Rathmanner was defamed when he left the firm and ordered his U5 expunged.
SEC bars former LPL broker who pleaded guilty to $4.9 million Ponzi
Norwalk, Conn., financial professional preyed on elderly clients
Wife of barred broker helped him produce $6 million in commissions: Finra
Regulator suspends Kim Kopacka and an associate for enabling the securities business of Tim Kopacka.
Finra slaps $20,000 fine on former JMP Securities analyst
Michael King Jr. wrote research reports on the company offering him a job.
Finra slaps $20,000 fine on former JMP Securities analyst
Michael King Jr. wrote research reports on the company offering him a job.
Finra bars former NY Life Securities rep over expense cheating
Ronald J. Knight received $3,900 in reimbursements to which he was not entitled
Raymond James to pay $3.2 million to customers hurt by oil and gas investments
Arbitrators rule barred broker James Edward Lyons engaged in unauthorized trading.
Senators introduce bill to ease audit requirements for small brokerages
New bill contains revisions aimed at generating more bipartisan support than previous legislation
Raymond James to pay $3.2 million to customers hurt by oil and gas investments
Arbitrators rule barred broker James Edward Lyons engaged in unauthorized trading.
Finra bars former NY Life Securities rep over expense cheating
Ronald J. Knight received $3,900 in reimbursements to which he was not entitled
Senators introduce bill to ease audit requirements for small brokerages
New bill contains revisions aimed at generating more bipartisan support than previous legislation
Finra bars former Raymond James rep over churning allegations
Stuart Nichols, who failed to take part in hearing, was discharged last year.
Finra bars former Raymond James rep over churning allegations
Stuart Nichols, who failed to take part in hearing, was discharged last year.
Finra fines former Merrill top broker $15,000 over falsified CE
Bruce Lee also suspended for 18 months
Finra fines BNP Paribas $15 million for AML violations
Fine also covers supervisory failures involving penny stocks.
Finra fines BNP Paribas $15 million for AML violations
Fine also covers supervisory failures involving penny stocks.
Finra fines former Merrill top broker $15,000 over falsified CE
Bruce Lee also suspended for 18 months
Barred former LPL rep pleads guilty to $5 million fraud
James Booth of Norwalk, Conn., faces 20 years in prison.
Finra fines former rep $25,000 over unauthorized trades at two firms
Steven Yellen's trading at Morgan Stanley, Ameriprise violated rules, Finra rules.
