FINRA Archives - Page 14 of 15 - FrankowskiFirm Blog Posts

Five More Firms To Pay $18M For Overcharges

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FINRA has ordered five broker-dealers to reimburse clients a sum of $18.4 million for charging them improper […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 28 2015 FINRA Fines Twelve Firms A Combined $6.7M

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FINRA ordered twelve firms to pay restitution over $4 million and fines over $2.6 million for failing […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 20 2015 FINRA Fines Six IBDs For Failing To Discount Large REIT Sales

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Voya Financial Advisors Inc., Transamerica Financial Advisors Inc. and four other independent broker-dealers failed to give […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 15 2015 FINRA Fines Santander Securities LLC $6.4 Million For Supervisory Failures

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FINRA mandated that Santander Securities LLC pay about $4.3 million in restitution to a number of […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 13 2015 FINRA Expels Halcyon Cabot Partners And Bars CEO And CCO

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FINRA expelled New York-based Halcyon Cabot Partners, Ltd., and barred Chief Executive Officer Michael Morris and Chief […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsOctober 8 2015 FINRA Fines UBS Puerto Rico $18.5M

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FINRA censured and fined UBS Financial Services Incorporated of Puerto Rico $7.5 million for supervisory failures […]

by Richard FrankowskiFINRA, Press Releases & NewsOctober 1 2015 Investors Lose $11.7 Million In Risky Hedge Fund Through Lincoln Financial

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According to a FINRA Letter of Acceptance, Waiver and Consent (“AWC”), between about October 2008 and […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 24 2015 FINRA Sanctions Ten Former Global Arena Representatives

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During a 2014 onsite exam, FINRA found numerous securities violations at Global Arena Capital Corp., including […]

by Richard FrankowskiFINRA, Fraud, Press Releases & NewsSeptember 23 2015 Adviser Loses Job Following Weekend Client Raid

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An arbitration has been filed accusing Oppenheimer & Co. of overstepping its bounds during a three […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 21 2015 FINRA August 2015 Disciplinary Actions: Part IV

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Mark Andrew Bullivant of Fort Myers, Florida submitted a letter of acceptance, waiver, and consent that […]

by Richard FrankowskiFINRA, Press Releases & NewsSeptember 18 2015