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Posts tagged "FINRA Enforcement Action"

Global Arena Capital Corp - South Florida Municipial and Corporate Bond Mark-Up and Mark-Down Abuse FINRA Arbitration Attorney

Arena Capital Corp - South Florida Municipial and Corporate Bond Mark-Up and Mark-Down Abuse FINRA Arbitration Attorney

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

James D. Belenis - Unapproved Private Securities and Outside Business Activity - Boca Raton, Florida FINRA Arbitration and Litigation Attorney

James D. Belenis - Unapproved Private Securities and Outside Business Activity - Boca Raton, Florida FINRA Arbitration and Litigation Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Unlawful Reimbursement of Customer Losses - Boca Raton, Florida FINRA Arbitration and Litigation Attorney

Unlawful Reimbursement of Customer Losses - Boca Raton, Florida FINRA Arbitration and Litigation Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Jason Figueroa and The GMS Group, LLC. - ETFs - Proshares Ultra S&P, Proshares Ultrashort S&P 500 and Barclay's Ipath S&P 500 VIX Short Term Futures ETN Unsuitable FINRA Arbitration Attorney

Jason Figueroa and The GMS Group, LLC. - Unsuitable ETFs - Proshares Ultra S&P, Proshares Ultrashort S&P 500, Direxion ETF Daily Gold Miners Bull 3X shares, Credit Suisse Velocity Shares Inverse VIX ETN and Barclay's Ipath S&P 500 VIX Short Term Futures ETN FINRA Arbitration Attorney:

Recently the Financial Industry Regulatory Authority (FINRA) announced that Jason L. Figueroa entered into an Acceptance, Waiver and Consent (AWC) whereby Mr. Figueroa was barred from associating with any FINRA member in any capacity.

The GMS Group, LLC., Jason Figueroa and Carmine Capone - Boca Raton, Florida Unsuitable Investment FINRA Arbitration Attorney

The GMS Group, LLC., Jason Figueroa and Carmine Capone - South Florida, including Boca Raton, Fort Lauderdale and West Palm Beach FINRA Arbitration Attorney:

Recently, the Financial Industry Regulatory Authority announced that The GMS Group, LLC and Carmine Capone had entered into an Acceptance, Waiver and Consent (AWC) relative to their failure to properly supervise a registered representative by the name of Jason Figueroa.  According to the AWC, between October 1, 2011 and October 30, 2013 (the "Relevant Time Period"), Mr. Figueroa revised the investment strategy that he was recommending for four customer accounts, each of which was owned by unsophisticated and retired investors with limited investment experience and a moderate risk tolerance.  Previously, these customers had been primarily invested in corporate bonds and mutual funds.  A major component of the revised strategy, however, was leveraged and inverse-leveraged ETFs, including Proshares Ultra S&P 500, Proshares Ultrashort S&P 500 and Direxion EFT Daily Gold Miners Bull 3X shares, as well as related exchange-tradedd notes, including Barclay's Ipath S&P 500 VIX Short Term Futures ETN and Credit Suisse Velocity Shares Daily Inverse VIX ETN.  The risk associated with these investments was exacerbated by the recommended use of margin.

Exchange-Traded Notes (ETN), Leveraged and Inverseleveraged ETFs - Unsuitable Investment Recommendations, FINRA Arbitration Attorney

Exchange-Traded Notes (ETN), Leveraged and Inverseleveraged ETFs - Unsuitable Investment Recommendations, FINRA Arbitration Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Ronald Seth Cohen - Unapproved Outside Business Activity Fort Lauderdale, Florida FINRA Arbitration Attorney

Ronald Seth Cohen - Unapproved Outside Business Activity Fort Lauderdale, Florida FINRA Arbitration Attorney:

John Cherry III - Conversion of Client Funds, Fraud and Misrepresentation Boca Raton, Florida FINRA Arbitration Attorney

John Cherry III - Conversion of Client Funds, Fraud and Misrepresentation Boca Raton, Florida FINRA Arbitration Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Mark Andrew Bullivant - Conversion of Client Funds, Boca Raton, Florida FINRA Arbitration Attorney

Mark Andrew Bullivant - Conversion of Client Funds, Boca Raton, Florida FINRA Arbitration Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

Leveraged - Inverse Mutual Funds - Risk vs. Rewards - Boca Raton, Florida FINRA Arbitration Attorney

Leveraged - Inverse Mutual Funds - Risk vs. Rewards - Boca Raton, Florida FINRA Arbitration Attorney:

The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute an enforcement action, firms and licensed individuals have the responsibility to reflect such action on their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.

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