Insights
August 13, 2019
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Steve Baptist for 30 days and imposed a monetary sanction against him based on FINRA’s findings that Baptist placed six trade...
July 30, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a permanent ban against former Morgan Stanley and Wells Fargo broker Robert Frederico Montes, who most recently worked in Morgan Stanl...
July 26, 2019
The Financial Industry Regulatory Authority (“FINRA”) has imposed a regulatory fine and a one year suspension against former Wells Fargo broker Michael David Garris, formerly of Wells Fargo’s Los Ange...
May 20, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against Morgan Stanley Smith Barney, LLC and entered an award against the firm of over $500,000 in favo...
May 9, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has entered a $1.4 million award against Pershing, LLC for its role as a custodian and clearing firm in the R. Allen Stan...
May 7, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) has made findings against AXA Advisors, LLC and entered an award against the firm exceeding $3.2 million in favor of a Ne...
May 3, 2019
A panel of arbitrators of the Financial Industry Regulatory Authority (“FINRA”) has entered a unanimous decision against Morgan Stanley and its broker, Michael Lee Canney, of Des Moines, Iowa. The com...
February 22, 2019
The Financial Industry Regulatory Authority (“FINRA”) has suspended Middleton, Massachusetts broker Bruce C. Worthington from the securities industry in all capacities following allegations that he mi...
February 19, 2019
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Floyd Powell , of Albertville, Alabama, from the securities industry based on findings that he engaged in undisclosed and unappr...
February 15, 2019
The Financial Industry Regulatory Authority (“FINRA”) has made findings against Kestra Financial Services, LLC of Austin, Texas and censured and fined the firm for overcharging mutual fund investors a...
February 9, 2019
An arbitration panel for the Financial Industry Regulatory Authority (“FINRA”) awarded two retired schoolteachers a combined $2.38 million in an arbitration based on the teachers’ claims of excessive ...
February 9, 2019
FINRA EXAMS TO INCLUDE COMPLIANCE WITH ELDER ABUSE RULES The Financial Industry Regulatory Authority (“FINRA”), the self-regulatory organization which enforces rules governing the activities of all re...
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