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28 Nov 2016, 8:10 am
The Director of FINRA Dispute Resolution mailed both Padussis and UBS a list of potential arbitrators as required by the FINRA Code of Arbitration Procedure for Industry Disputes. [read post]
11 Jul 2018, 2:13 pm
For executing unauthorized trades, Destefano was found to be in violation of unauthorized NASD Conduct Rule 2510(b) and FINRA Rule 2010. [read post]
27 Mar 2015, 10:16 am
In light of this increased oversight, proprietary trading firms that will become subject to FINRA’s jurisdiction should evaluate their compliance programs and regulatory response functions to ready themselves for FINRA oversight, including periodic cycle examinations and any potential enforcement investigations. [read post]
8 Jul 2021, 7:09 am
Continue reading The post Popular Securities, LLC Broker Fernando Luis Monllor Suspended by FINRA – Ponce, PR appeared first on Securities Arbitration Lawyer Blog. [read post]
4 Sep 2021, 5:24 am
According to FINRA, Primary acted as finder or placement agent for at least 70 EB-5 offerings during the period of December 2013 through February 2019. [read post]
15 Jun 2021, 1:36 pm
FINRA has suspended former LPL Financial LLC broker Jason Howell Poff from the securities industry. [read post]
19 Jun 2021, 5:26 am
Continue reading The post Popular Securities, LLC Broker Dennis Cummings Suspended by FINRA – Mayaguez, PR appeared first on Securities Arbitration Lawyer Blog. [read post]
15 Jun 2021, 7:43 am
Continue reading The post Broker Jimmie Darrel Summers, Formerly with Cetera Investment Services LLC, Suspended by FINRA – Tulsa, OK appeared first on Securities Arbitration Lawyer Blog. [read post]
3 Nov 2015, 11:49 am
Last month, the SEC released for public comment a proposal FINRA filed to merge its Dispute Resolution subsidiary into … Continue reading FINRA’s Bad Idea to Merge its Dispute Resolution Subsidiary into FINRA Regulation, Inc. [read post]
9 Nov 2021, 6:40 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Melilli from the securities industry for refusing to cooperate with a FINRA investigation into whether Mr. [read post]
29 May 2012, 6:46 am
The Securities and Exchange Commission approved FINRA’s new Suitability Rule (FINRA Rule 2111) in November of 2010. [read post]
19 Jun 2023, 9:09 pm
FINRA stresses that the Notice is not intended to modify guidance provided in prior Regulatory Notices—including Regulatory Notice [...] [read post]
28 Jul 2015, 11:21 am
FINRA Permanently Bars Former Merrill Lynch Heavyweight Thomas Buck [read post]
20 Sep 2017, 6:42 am
In today's BrokeAndBroker.com Blog, publisher Bill Singer, Esq. dissects a FINRA arbitration and two FINRA regulatory settlements involving a father and son. [read post]
6 Jun 2015, 6:27 am
In response, FINRA will have none of it and gives back as good as it gets. [read post]
3 Nov 2020, 10:42 am
In the last recorded complaint by FINRA, Isaacson “consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into whether he made unsuitable investment recommendations,” the FINRA record stated. [read post]
31 May 2021, 1:10 pm
Batstone was a respondent in a FINRA complaint. [read post]
24 Jun 2017, 9:36 am
FINRA Rule 9552. [read post]
30 Jul 2012, 1:25 pm
While the ruling is a victory for FINRA as well as Schwab’s investors, as a formal matter the FINRA disciplinary proceeding against Schwab must still be resolved. [read post]
5 Jan 2011, 12:18 pm
According to Thomas Gira, the Executive Vice President of FINRA's Department of Market Regulation, "FINRA is committed to ensuring that firms charge their customers reasonable fees in connection with the purchase and sale of fixed income and other debt securities. [read post]
