Search for: "Finra"
Results 221 - 240
of 18,335
Sort by Relevance
|
Sort by Date
3 Jan 2024, 3:00 am
Last month, the House Financial Services Committee’s Capital Markets Subcommittee held a hearing on “Examining the Agenda of Regulators, SROs, and Standards-Setters for Accounting, Auditing” – with testimony from PCAOB Chair Erica Williams, FASB Chair Richard Jones, and FINRA President & CEO Robert Cook. [read post]
2 Jan 2024, 1:33 pm
Investigating Potential Claims – JER Investors Trust The White Law Group is investigating FINRA arbitration claims involving broker dealers who may have improperly recommended mortgage REITs to investors. [read post]
2 Jan 2024, 1:04 pm
After I graduated law school, I was a regulatory lawyer with the American Stock Exchange and then with the NASD (now FINRA). [read post]
2 Jan 2024, 1:04 pm
Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
2 Jan 2024, 1:04 pm
After I graduated law school, I was a regulatory lawyer with the American Stock Exchange and then with the NASD (now FINRA). [read post]
2 Jan 2024, 1:04 pm
A 2024 FINRA regulatory settlement asserts that FINRA only first discovered a member firm's violations in a 2021 cycle examination. [read post]
2 Jan 2024, 1:04 pm
After a 26-Year Regulatory Nap, FINRA Discovers Firm's WSPs Are Inadequate (BrokeAndBroker.com Blog) FINRA Bars Its Arbitration Forum To TDA Customer Citing Unspecified Risks Of Health And Safety (BrokeAndBroker.com Blog) Former Merrill Lynch Rep Stuck In FINRA Arbitration Expungement Turnstile (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
2 Jan 2024, 1:04 pm
It's a somewhat dirty, little secret on Wall Street that virtually all disputes against FINRA member firms are subject to mandatory arbitration before FINRA's arbitration forum. [read post]
2 Jan 2024, 1:04 pm
A FINRA arbitrator held an evidentiary hearing. [read post]
2 Jan 2024, 11:26 am
What does FINRA do? [read post]
29 Dec 2023, 11:48 am
FINRA Claims to Recover Investment Losses FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. ? [read post]
27 Dec 2023, 6:09 pm
According to his FINRA BrokerCheck report, Kim has 23 customer complaints on his record. [read post]
27 Dec 2023, 2:02 pm
(FINRA). [read post]
27 Dec 2023, 11:21 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
27 Dec 2023, 9:32 am
According to FINRA Disciplinary actions for November 2023, 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]
27 Dec 2023, 8:45 am
What Is FINRA Rule 9554? [read post]
20 Dec 2023, 11:58 am
“Finra is looking to get his attention with the Wells Notice. [read post]
20 Dec 2023, 11:01 am
FINRA Investigates Keith Baron, Equity Services Advisor for Broker Misconduct According to public records on December 14, 2023, the Financial Industry Regulatory Authority (FINRA) recommended that disciplinary action be brought against financial advisor Keith Baron (CRD#: 3231494) alleging the following rules violations: FINRA Rule 2010 by making material misrepresentations and omissions to investors; FINRA Rules 3270 and 2010 by failing provide… [read post]
20 Dec 2023, 7:19 am
FINRA BrokerCheck: Eric Kubiak The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
18 Dec 2023, 2:48 pm
December 18, 2023 Clients, Friends, and Associates: As we near the end of 2023, we have highlighted some recent industry developments that will likely impact many of our clients. [read post]
