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Tagged with "FINRA"

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Page 1 of 15

Wells Fargo Ordered to Pay FINRA $3.4M in Restitution for Selling Unsuitable ETPs

Posted on October 18th, 2017 at 10:23 AM
Wells Fargo Ordered to Pay FINRA $3.4M in Restitution for Selling Unsuitable ETPs

FINRA has fined Wells Fargo Clearing Services LLC and Wells Fargo Advisors more than $3.4 million in restitution for selling customers “unsuitable” exchange-traded products (ETPs) and for its failure to supervise reps.

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FINRA Continues to Curb Variable Annuity Misconduct

Posted on October 13th, 2017 at 9:34 AM
FINRA Continues to Curb Variable Annuity Misconduct

FINRA’s efforts to curb variable annuity abuse have led to an increase in fines and an increase in the number of cases brought against advisors by FINRA Enforcement.

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SEC Charges Barred Broker for Orchestrating Real Estate Scam

Posted on October 6th, 2017 at 9:54 AM
SEC Charges Barred Broker for Orchestrating Real Estate Scam

Former broker Leonard Vincent Lombardo of Long Island, New York, along with his company and business partner, has agreed to settle charges with the SEC for perpetrating an alleged real estate investment scam.

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FINRA Fines Broker-Dealer Over its Failure to Supervise Nontraditional ETFs

Posted on August 16th, 2017 at 10:17 AM
 FINRA Fines Broker-Dealer Over its Failure to Supervise Nontraditional ETFs

FINRA has fined Atlanta-based Broker-Dealer, FSC Securities Corporation, $100,000 over allegations that it failed to supervise trades in risky, nontraditional exchange-traded funds (“ETFs”).

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FINRA to Create a New Centralized Enforcement Office

Posted on August 1st, 2017 at 1:25 PM
FINRA to Create a New Centralized Enforcement Office

FINRA has created a new centralized enforcement office which will merge the office which handles disciplinary actions with another office that covers a broad swath of regulatory oversight cases.

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A FINRA Panel Grants Morgan Stanley’s Request for a Permanent Injunction Preventing Former Reps From Soliciting Clients

Posted on July 14th, 2017 at 10:00 AM
A FINRA Panel Grants Morgan Stanley’s Request for a Permanent Injunction Preventing Former Reps From Soliciting Clients

A three-person FINRA arbitration panel has granted Morgan Stanley’s request for a permanent injunction prohibiting a pair of former reps from soliciting clients from their new Janney Montgomery Scott office.

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FINRA Manages to Attain Positive Net Income in 2016 Due to Increased Fines

Posted on July 12th, 2017 at 10:00 AM
FINRA Manages to Attain Positive Net Income in 2016 Due to Increased Fines

According to FINRA’s annual financial report, the SRO’s increase in fines in 2016 allowed for it to attain a positive net income.

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FINRA, SEC and FINCEN to Investigate Broker-Dealer Aegis Capital

Posted on July 6th, 2017 at 11:56 AM
FINRA, SEC and FINCEN to Investigate Broker-Dealer Aegis Capital

According to a filing by the SEC, Aegis Capital Corp., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by the SEC, FINRA and the Treasury Department's Financial Crimes Enforcement Network (FINCEN).

 

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Ameriprise Seeks to Quicken Collection Proceedings on Promissory Notes

Posted on July 3rd, 2017 at 10:02 AM
Ameriprise Seeks to Quicken Collection Proceedings on Promissory Notes

Brokerage firms continually attempt to modify their forgivable loan agreements in order to gain an advantage over reps who elect not to pay their promissory note balances when they leave the firm.

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FINRA Panel Finds Morgan Stanley and a Broker Liable for Elder Abuse

Posted on June 21st, 2017 at 9:49 AM
FINRA Panel Finds Morgan Stanley and a Broker Liable for Elder Abuse

A FINRA panel has ordered Morgan Stanley and a broker in Santa Ana, California to pay damages, attorneys’ fees and interest to the estate of a deceased customer.

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Page 1 of 15
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