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Articles Tagged with FINRA

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 19, 2019 list more than a dozen brokers and/or investment advisers reported in December 2018 as suspended from association with FINRA member firms. The financial professionals enumerated below have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to the […]

Publicly available records published by FINRA and accessed on January 18, 2018 list more than a dozen investment representatives who were reported in December 2018 as barred from associating with Financial Industry Regulatory Authority member firms. The brokers enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these disciplinary […]

Publicly available records published by the Financial Industry Regulatory Authority and accessed on December 6, 2018 indicate that FINRA reported more than 15 brokers and/or investment advisers in November as barred from association with FINRA member firms. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to FINRA’s sanctions […]

Publicly available records published by FINRA and accessed on May 15, 2018 indicate that more than one dozen brokers and/or investment advisers were reported as barred from associating with Financial Industry Regulatory Authority member firms this month. The individuals enumerated below have signed Letters of Acceptance, Waiver and Consent (AWC Letters) in connection to these […]

According to the Financial Industry Regulatory Authority’s (FINRA) list of disciplinary actions issued in November 2017, the regulatory authority reported the suspensions of more than three dozen brokers and/or investment advisers in that month. The following individuals have signed letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these suspensions without admitting or denying […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in July, more than a dozen registered representatives were reported in that month as barred from associating with FINRA firms. The following representatives have signed Letters of Acceptance Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying the […]

According to a press release published by the Financial Industry Regulatory Authority (FINRA) on September 25, 2017, FINRA has sanctioned Morgan Stanley and ordered the firm to pay more than $13 million in fines and restitution in connection to alleged supervisory failures over unit investment trust (UIT) products. Specifically, Morgan Stanley has been fined $3.25 […]

According to the Financial Industry Regulatory Authority’s (FINRA) record of disciplinary actions issued in August, more than 15 brokers and/or investment advisers were barred in that month from associating with FINRA firms. The following individuals have signed Letters of Acceptance, Waiver and Consent (AWC Letters) agreeing to these sanctions without admitting or denying the alleged […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 26, 2016 indicate that Florida-based broker-dealer firm Dawson James Securities has submitted a letter of Acceptance, Waiver and Consent to settle alleged rule violations. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints […]

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 16, 2016 indicate that New York-based Network 1 Financial Securities broker Robert Ciacco Jr. has been the subject of customer complaints and regulatory sanctions. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints […]

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