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Articles Tagged with FINRA

It’s been said that “justice delayed is justice denied.” That old adage certainly applies to the issue of unpaid arbitration awards. When a brokerage firm or broker loses a securities arbitration before the Financial Industry Regulatory Authority (FINRA) and an award is issued, they are required to pay the award to the defrauded investor within […]

On June 4, 2020, FINRA, the Financial Industry Regulatory Authority, announced that it has ordered Merrill Lynch to pay $7.2 million to investors who were charged excessive fees in connection with mutual fund transactions, according to Financial Advisor IQ. The self-regulatory authority is calling this the “largest restitution case in 2020 to date.” Why must […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full April 2020 report can be viewed here.   In the most […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full March 2020 report can be viewed here.  In the most serious […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full February 2020 report can be viewed here. In the most serious […]

If you’ve lost money to broker fraud, you should consider seeking the counsel of an attorney who can represent you in arbitration and mediation proceedings before FINRA, the Financial Industry Regulatory Authority. How can you find a free FINRA attorney? Many law schools run clinics designed to help underserved investors recover lost funds. Why are […]

When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full December 2019 report can be viewed here. In the most serious […]

FINRA Disciplinary Actions November 2019 When brokers violate FINRA rules or federal securities regulations—by borrowing money from customers, forging documents, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full November 2019 report can be viewed […]

August 2019 Disciplinary Actions When brokers violate FINRA rules or federal securities regulations—by stealing customer funds, recommending unsuitable investments, or refusing to provide on-the-record testimony to FINRA—the Financial Industry Regulatory Authority holds them to account. FINRA publicizes disciplinary actions taken against brokers in their monthly round-up. The full August 2019 report can be viewed here. […]

Jay Piekarczyk (CRD#: 1128773), formerly a registered representative with Pruco Securities, LLC in Joliet, Illinois, is currently under investigation by the Financial Industry Regulatory Authority (FINRA), according to his BrokerCheck record accessed on September 17, 2019. He is currently not affiliated with any member firm. On August 30, 2019, FINRA recommended that disciplinary action be […]

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