Tag: FINRA
FINRA Announces Agreements with Three Additional Firms
FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations Northwestern Mutual Investment...
FINRA Bars Citigroup Sales Assistant Tamara Lanz Moon
Broker Targeted Accounts of Elderly and Vulnerable Clients; Citigroup Has Paid Restitution to Customers The Financial Industry Regulatory...
New Rule on Broker Promissory Note Arbitration
Effective September 14, 2009, FINRA will begin expediting the administration of cases that solely involve a brokerage firm’s claim than...
FINRA Fines Three Firms Over $1.25 million
The Financial Industry Regulatory Authority (FINRA) has recently fined three broker-dealers- J.P. Turner & Co. of Atlanta, Georgia,...
Reynold Frank Vaughan III suspended from FINRA for securities violations.
Reynold Frank Vaughan III suspended from FINRA for four months for securities violations. Without admitting or denying the findings,...
Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, fined and suspended by FINRA for securities violations.
According to a recent FINRA announcement, Charles Edward Roden, of Oppenheimer & Co., Inc. in Armonk, New York, was really fined $5,000...
