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24 May 2016, 9:31 am
FINRA informed the firm of these failures and the firm amended its WSPs. [read post]
10 Nov 2023, 7:44 am
FINRA Bars Advisor Robert Marquez, Investment Network According to public records, FINRA has reportedly barred financial advisor Robert Marquez (CRD#: 2266269) from the securities industry. [read post]
29 Jul 2009, 8:00 am
Back to FINRA's Recent Action Against Merrill Lynch and UBS As part of the settlement with FINRA, Merrill Lynch and UBS consented to FINRA's findings that the brokers had earned high fees through short-term trading of CEFs by recommending that their clients invest in CEFs at the IPO and sell them a few months later, usually at a loss, so that the proceeds could be invested in yet another CEF-IPO. [read post]
6 Nov 2009, 12:53 pm
"Despite the large volume of online trading at Scottrade, the firm failed to establish any systematic or automated surveillance until 2005," FINRA executive vice president and chief of enforcement Susan Merrill said in the statement. [read post]
5 Aug 2021, 5:29 am
Christopher Black Was Registered with FINRA Since 2006 Black was reportedly registered with FINRA since May 2006 and switched employers three times according to his FINRA Brokercheck page. [read post]
5 Aug 2021, 5:29 am
Christopher Black Was Registered with FINRA Since 2006 Black was reportedly registered with FINRA since May 2006 and switched employers three times according to his FINRA Brokercheck page. [read post]
5 Aug 2021, 5:29 am
Christopher Black Was Registered with FINRA Since 2006 Black was reportedly registered with FINRA since May 2006 and switched employers three times according to his FINRA Brokercheck page. [read post]
6 Oct 2011, 7:44 am
FINRA must be able to enforce its fines. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
20 Jun 2012, 3:48 pm
According to FINRA, the new rule imposes the same obligations as the predecessor rule and related case law. [read post]
16 May 2012, 6:28 pm
In April, a former registered representative (a licensed attorney) at Merrill Lynch, Pierce, Fenner & Smith Incorporated ("Merrill" or "ML") entered into an AWC with FINRA consenting to a 30 day suspension. [read post]
20 Jun 2012, 3:48 pm
According to FINRA, the new rule imposes the same obligations as the predecessor rule and related case law. [read post]
1 Feb 2019, 8:06 am
Khan was barred by FINRA after he refused to answer a request for information from them. [read post]
3 Mar 2010, 1:06 pm
This week a federal court judge in New York dismissed a lawsuit by two broker-dealers against NASD (now FINRA) relating to NASD communications with member firms in advance of the merger of NASD and NYSE Regulation. [read post]
17 May 2011, 7:33 am
FINRA has just changed the game. [read post]
1 Sep 2015, 4:25 am
FINRA recently sent out targeted exam letters focused compensation practices. [read post]
13 Aug 2018, 1:31 pm
Both are accompanied by correlating FINRA arbitration cases. [read post]
8 Dec 2021, 3:55 pm
FINRA just allowed for a five year gap between firms, as long as the rep takes continuing education. [read post]
13 Sep 2018, 9:16 am
FINRA barred Downing after he failed to respond to a request for information. [read post]
30 Sep 2015, 12:06 pm
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Leonard Goldberg (Goldberg) (FINRA No. 2011026098504) alleging during the seven year period from August 2007 through August 2014, while he was registered with FINRA through J.P. [read post]
