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26 Feb 2022, 8:32 am
FINRA (the Financial Industry Regulatory Authority) has provided guidance to broker/dealers regarding the requirements of these rules and to remind broker-dealers of their responsibility to have procedures reasonably designed to achieve compliance with these rules. [read post]
26 Feb 2022, 8:25 am
Jordan was fined $5,000 and suspended from association with any FINRA member in any principal capacity for one month. [read post]
25 Feb 2022, 10:49 am
Key regulations include: (1) the Global Research Analyst Settlement; (2) Sarbanes-Oxley Act Section 501 (Exchange Act Section 15D); (3) FINRA Rule 2241; (4) Regulation Analyst Certification; (5) JOBS Act Sections 105(b) and 105(d); and (6) the European Union’s MiFID II.The report noted that although state regulators may impose some registration or qualification requirements and bring enforcement actions regarding investment research, the SEC staff said it was unaware of specific state… [read post]
25 Feb 2022, 8:19 am
FINRA has reportedly barred Hoffman from working in the securities industry. [read post]
24 Feb 2022, 2:29 pm
(FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)). [read post]
24 Feb 2022, 9:25 am
If FINRA does allow these arrangements, however, the accounts should be subject to heightened supervision at a minimum, NASAA wrote. [read post]
23 Feb 2022, 1:40 pm
RIK’s investment lawyers are pursuing multimillion-dollar FINRA arbitrations on behalf of investors against UBS to recover losses sustained from the YES strategy. [read post]
23 Feb 2022, 1:17 pm
Investors may also choose to pursue individual FINRA arbitration claims against their brokerage firm or financial advisors. [read post]
22 Feb 2022, 1:58 pm
According to FINRA Disciplinary actions for February 2022, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
22 Feb 2022, 1:23 pm
What Is FINRA Rule 9554? [read post]
22 Feb 2022, 12:09 pm
According to FINRA Disciplinary actions for February 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Joshua Baker State Farm VP Management Corp. [read post]
22 Feb 2022, 9:02 am
(CRD#:15007), Holmdel, NJ, and Obsidian Financial Group, LLC (CRD#:104255, expelled by FINRA on 10/16/2013) of Red Bank, NJ. [read post]
22 Feb 2022, 4:11 am
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6314/schottenstein-sdfl/The saga of Beverley Schottenstein's lawsuit against JP Morgan Securities and her grandsons Evan and Avi has been widely reported in the press. [read post]
22 Feb 2022, 4:11 am
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments / Agency Also Reopens Comment Period for Proposed Rule 10c-1 (SEC Release)UPDATE: The Google, Candido Viyella, Morgan Stanley, Fundacion Nicor Panama Saga: a Bill Singer 2022 Copyrighted Article fighting DMCA Takedowns (BrokeAndBroker.com Blog)Jury Convicts Arizona and California Men for… [read post]
22 Feb 2022, 4:11 am
The BrokeAndBroker.com Blog published "Hot Shoe Burnin' Down Wall Street In FINRA Morgan Stanley Panama Arbitration," an article that was written solely by our publisher Bill Singer and published with a copyright notice. [read post]
22 Feb 2022, 4:11 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6309/securities-industry-commentator/Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)SEC Proposes Short Sale Disclosure Rule, Order Marking Requirement, and CAT Amendments / Agency Also Reopens Comment Period for Proposed Rule 10c-1 (SEC Release)UPDATE: The Google, Candido… [read post]
17 Feb 2022, 2:51 pm
The SEC would grant covered exchanges a grace period, during which they can operate provisionally until the earlier of either: (1) the date the entity registers as a broker-dealer and becomes a member of a national securities association, or (2) 210 calendar days after the effective date of any final rule.[23] The proposed 210 calendar day transition period would provide time for a covered entity to submit its broker-dealer registration application, for FINRA to conduct its… [read post]
17 Feb 2022, 8:49 am
FINRA Panel orders JP Morgan to pay Advisor $1.4 Million for Damages According to a FINRA award posted on February 4, 2022, a FINRA arbitration panel has ordered JP Morgan Securities to pay $1.4 Million in damages to a former financial advisor who alleged the firm invaded his privacy and interfered with “prospective business expectancies,” among others. [read post]
16 Feb 2022, 12:32 pm
The speed and economy of the arbitration process has also come under scrutiny, especially with the Covid-19 backlog of in-person arbitration hearings at FINRA. [read post]
16 Feb 2022, 12:12 pm
See https://techcrunch.com/2021/06/02/what-10m-in-daily-thefts-tells-us-about-crypto-security/ Continue reading › The post Hacking the Unhackable and Tracing the Untraceable appeared first on FINRA Lawyer Blog. [read post]
