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15 Dec 2020, 8:09 am
The post FINRA Cracks Down on Excessive Trading appeared first on The White Law Group. [read post]
7 Aug 2024, 8:43 am
FINRA BrokerCheck – Marat Likhtenstein 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]
10 May 2017, 6:05 am
Effective February 9, 2017 Falla barred from association with any FINRA member in any capacity. [read post]
20 May 2021, 7:28 am
Sanctioned by FINRA Over Non-Traditional and Volatility-Linked Exchange Traded Products appeared first on Securities Arbitration Lawyer Blog. [read post]
29 Oct 2021, 11:44 am
Yet again, another FINRA member firm is a no-show at a public customer arbitration hearing. [read post]
4 Feb 2016, 8:57 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2013038091901) against Watson. [read post]
17 Feb 2010, 1:42 pm
FINRA is proposing to include information that is not reportable on Form U-4 and is going to do so on the Internet. [read post]
18 Sep 2023, 4:46 am
Oddly, FINRA refuses to announce the number of abstentions cast despite the fact that FINRA engaged a proxy solicitor to help FINRA meet the requirement of a quorum in the face of a call to boycott the elections. [read post]
2 Jan 2024, 1:04 pm
A FINRA arbitrator held an evidentiary hearing. [read post]
4 Jun 2021, 2:04 pm
I'm guessing that the settlement offer made by FINRA Staff was much higher than what the FINRA OHO Panel imposed. [read post]
18 Jun 2018, 1:49 am
Paige Pierce For 2017 FINRA NAC Small Firm Member November 1, 2017As set forth on the Financial Industry Regulatory Authority's ("FINRA's") website:The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. [read post]
14 May 2021, 4:09 am
Perhaps in response to some of Bill's recent complaints, FINRA just published the truly helpful: Cybersecurity / FINRA Shares Practices Firms Use to Protect Customers From Online Account Takeover Attempts (FINRA Regulatory Notice 21-18... [read post]
15 Apr 2022, 7:10 am
The post National Securities Faces FINRA Penalty Of $663K For Private Placements appeared first on Securities Arbitration Lawyers Blog. [read post]
2 Jul 2024, 8:43 am
It’s also mostly barred by FINRA. [read post]
1 Aug 2016, 1:21 pm
FINRA’s News Release detailed that Mr. [read post]
24 Mar 2015, 4:27 am
The amended rule proposals can be found here: SR-FINRA-2014-047 (equity) and SR-FINRA-2014-048 (debt). [read post]
16 Nov 2011, 5:37 am
" Chase consented to the entry of FINRA's findings without admitting or denying the charges. [read post]
17 May 2023, 8:23 am
The post Finra Expels N.Y. [read post]
22 Jun 2018, 1:34 pm
Continue reading The post Broker Adam Goodman Subject of FINRA Arbitration Claims appeared first on Securities Arbitration Lawyers Blog. [read post]
7 Nov 2018, 6:25 am
According to BrokerCheck Records held by the Financial Industry Regulative Authority (FINRA), Bowen has been subject to 13 customer disputes, one financial action, one regulatory action, termination from employment, and a civil lien. [read post]
