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12 Dec 2014, 7:14 am
In the lyrics of a Billie Holiday song:I'm a fool to want youTo want a love that can't be trueCase 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, Barbara Ann Corner submitted a Letter of Acceptance, Waiver an... [read post]
19 Dec 2019, 12:57 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 iss... [read post]
28 May 2015, 3:24 am
A recent FINRA regulatory settlement involving a trip to the bathroom and a forgotten laptop perfectly illustrates this challenge.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, Sterne, Agee & Leach, Inc., submitted a … [read post]
23 Dec 2013, 2:58 am
And then we got the self-regulatory organization Financial Industry Regulatory Authority ("FINRA") giving what looks to be little more than a relatively half-hearted slap on the wrist to the registered representative.For the purpose of proposing a settlement of rule violations alleged by FINRA, without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Michael Cox submitted a Letter of… [read post]
23 Jan 2015, 4:56 am
Some will find good cause in what was, at best, questionable conduct -- and others may simply roll their eyes and wonder if this Good Samaritan was the victim of over-zealous compliance and regulatory staffs.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… [read post]
26 Aug 2013, 7:42 am
Next time you get yourself all ramped up for the good of your customer, remember this case that I'm about to tell you about.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... [read post]
26 Feb 2018, 3:30 am
On February 26, 2018, the Financial Industry Regulatory Authority ("FINRA") published "Outside Business Activities FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions" (FINRA Regulatory Notice 18-08, February 26, 2018) (the "OBA Notice") http://www.finra.org/sites/default/files/notice_doc_file_ref/Regulatory-Notice-18-08.pdf As set forth int he OBA… [read post]
30 May 2018, 3:06 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), witho... [read post]
13 Jun 2016, 2:47 am
Adding to an unseemly yet unending stream of contradictory rulings going back over the years, the Internal Revenue Service now weighs in with its opinion as to whether the Financial Industry Regulatory Authority is a governmental actor, which would render the self-regulatory organization's fines as not tax deductible. [read post]
22 Sep 2016, 7:31 am
In reading through the fact pattern of this case, you may be reminded of a moth getting too close to the flame.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, Michael Scott L... [read post]
15 May 2015, 6:56 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... [read post]
25 Jul 2016, 2:12 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, Brian P. [read post]
27 Aug 2021, 11:38 am
See a recent FINRA regulatory settlement for one such scenario.Case in PointIn response to the filing of a Complaint on February 26, 2021, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Clyde Anthony Jensen submitted an Offer of Settlement dated August 24, 2021, which the regulator accepted. [read post]
14 Nov 2014, 3:25 am
For one thing, there are aspects of an undisclosed private securities transaction; and, for another thing, it seems that we may have an undisclosed outside business activity.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, Donald L. [read post]
2 May 2016, 10:07 am
However you view my commentary, consider the facts for yourself and feel free to draw your own conclusions.First 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, Jennifer Rose Montgomery submitted a Letter of Acceptance, Waiver and… [read post]
16 Sep 2013, 5:08 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]
1 Oct 2013, 2:58 am
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, Thomas Q. [read post]
7 Nov 2020, 3:38 am
See what you think.The 2012 FINRA AWCFor 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, Jeffrey Arthur Cashmore submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. ... [read post]
20 Jan 2015, 8:11 am
Read about this recent PST 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 ... [read post]
30 Apr 2021, 3:58 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, G... [read post]
