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19 Sep 2013, 2:55 am
It is a sobering tale worth reading -- and make sure your parents and grandparents are aware of similar dangers of shuttling mortgage proceeds into insurance or stocks.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Maurice Joseph Chelliah… [read post]
5 Apr 2017, 1:03 pm
As a recent FINRA regulatory settlement demonstrates, there are more than a few clueless folks working on Wall Street.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Adriane L. [read post]
15 Jan 2021, 8:08 am
Consider a recent FINRA regulatory settlement for what prompted my latest round of intellectual endeavors.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication ... [read post]
12 Sep 2019, 1:06 am
A few years ago, it appears that the Financial Industry Regulatory Authority was attempting to make an omelet in 2016 and 2017 when it appointed Stephen M. [read post]
7 Aug 2023, 4:51 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Sandeep Var... [read post]
20 Mar 2017, 5:59 am
Few issues appear more frequently on the regulatory docket of the Financial Industry Regulatory Authority than allegations about a registered representative's failure to timely disclose tax liens. [read post]
31 Oct 2022, 4:22 am
Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, RBC Capital Markets submitted a Letter of Acceptanc... [read post]
25 Jul 2016, 3:51 am
"Case In PointBad luck and trouble taking meI have no money to showFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication o... [read post]
3 Jul 2019, 7:37 am
Our publisher, Bill Singer, doesn't argue the point; however, Bill does use this case as an opportunity to take FINRA to task for playing hide-and-seek with some "BS".Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, CV… [read post]
1 Aug 2017, 11:17 am
Case In Point For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findi... [read post]
19 Sep 2019, 1:32 am
As idiotic as that seems, consider a recent FINRA regulatory settlement.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, David C. [read post]
22 Dec 2016, 2:50 am
This is an update of "FINRA Wins Scottsdale Capital Advisors Motion to Dismiss" (BrokeAndBroker.com Blog, May 9, 2016)Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization ("SRO") the Financial Industry Regulatory Authority ("FINRA"). [read post]
5 May 2014, 3:59 am
Today's BrokeAndBroker.com Blog explores a recent regulatory settlement involving a stockbroker's conduct upon learning of his customer's death.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Jeffery Bowman Ellis… [read post]
14 May 2013, 3:31 am
Consider this recent regulatory case.A Natural Born Stock-ManFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, David E. [read post]
23 Oct 2014, 3:22 am
Consider this regulatory settlement involving one stockbroker's "away" accounts.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Abhishek Ghuwalewala submitted a Let... [read post]
27 Aug 2018, 5:28 am
Bill ain't pulling no punches in today's slice-and-dice analysis.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issu... [read post]
6 Jun 2015, 6:27 am
Consider the recent regulatory settlement in which a stockbroker thought he had the go-ahead to impersonate his customers during telephone calls.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Nabil Bouab submitted a Letter o... [read post]
16 Nov 2017, 1:05 pm
All of which makes for some interesting reading and raises some provocative questions.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Bufus Outlaw, Jr. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA… [read post]
15 Sep 2014, 7:31 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing... [read post]
29 Jun 2017, 12:19 pm
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Richard S. [read post]
