The Financial Industry Regulatory Authority (“FINRA”) recently barred Rand A. Heckler from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
Tagged with "FINRA"
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FINRA Bars Rand Heckler, Former Financial Adviser of Benjamin & Jerold Brokerage
Posted on June 21st, 2019 at 3:54 PM
FINRA Bars Former Cetera Broker George Merhoff
Posted on June 20th, 2019 at 10:00 AM
The Financial Industry Regulatory Authority (“FINRA”) recently barred George C. Merhoff Jr. from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
FINRA Bars Nina Jessee after Receiving 23 Customer Complaints
Posted on June 18th, 2019 at 12:42 PM
The Financial Industry Regulatory Authority (“FINRA”) recently barred Nina S. Jesse from the securities industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
FINRA Bars Former UBS Adviser Nicolas J. Barrios for Refusing to Provide Documents
Posted on June 17th, 2019 at 4:28 PM
The Financial Industry Regulatory Authority (“FINRA”) recently barred Nicolas J. Barrios (CRD No. 2122824) from the industry for refusing to provide documents and information requested by FINRA in connection with a fraud investigation.
FINRA Bars Jason Nelson, Former LPL Financial Broker for Non-Cooperation
Posted on June 14th, 2019 at 2:43 PM
The Financial Industry Regulatory Authority (“FINRA”) recently barred Jason Nelson (CRD No. 4824535) from the industry for refusing to cooperate in FINRA’s Rule 8210 inquiry.
Grim Assessment of Newbridge Securities Corporation’s Financial Health
Posted on May 24th, 2019 at 3:29 PM
The future of Newbridge Securities Corporation, a Boca Raton-based broker-dealer with a history of compliance issues, is in serious doubt.
FINRA Suspends Former LPL Investment Adviser After Borrowing $200,000 From a Client
Posted on May 9th, 2019 at 4:44 PM
FINRA has suspended former LPL Financial investment adviser, James E. “Jeb” Bashaw for failing to disclose to LPL that he borrowed $200,000 from a customer in 2013.
Sales in Unregistered Securities Are Soaring but It Comes at a Cost - Part 2
Posted on May 3rd, 2019 at 4:46 PM
This is the second in a series which highlights an InvestmentNews article concerning the recent uptick in the sale of unregistered securities and how those transactions have resulted in the proliferation of fraudulent schemes.
FINRA Fines New Jersey-Based Broker-Dealer, Buckman, Buckman & Reid For Failing to Reasonably Supervise Two Former Financial Advisors
Posted on May 1st, 2019 at 4:28 PM
FINRA has ordered New Jersey-based broker-dealer Buckman, Buckman & Reid Inc. (BBR) to pay approximately $205,000 in restitution to seven customers for failing to reasonably supervise two former financial advisors who recommended excessive and unsuitable trades to their customers.
FINRA Disciplined Four Financial Advisors Stemming from Fallout of the Woodbridge Ponzi-Scheme
Posted on April 26th, 2019 at 4:58 PM
This month, federal prosecutors have filed criminal charges in the Central District of California against former Woodbridge Group of Companies LLC owner, Robert H. Shapiro and two ex-directors, Dane R. Roseman and Ivan Acevedo for their roles in orchestrating a $1.3 billion Ponzi scheme involving a complex web of allegedly phony real estate investments and unregistered Florida-based funds.
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