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8 Feb 2021, 11:25 am
FINRA suspended Mr. [read post]
27 Jun 2012, 4:27 am
More on "FINRA's Corporate Financing Filing Fees Triple! [read post]
27 May 2020, 8:13 am
FINRA awarded Raymond James compensatory damages with interest, attorneys fees, filing fees to FINRA, and other costs involved in the claim on 10/14/2019. [read post]
26 Oct 2020, 10:02 am
FINRA sent a letter to Hall on 2/18/2020 requesting information and documents related to his discharge from Edward Jones in accordance with FINRA Rule 8210 by March 3, 2020. [read post]
25 May 2014, 3:04 am
Baggarly, Respondent (FINRA Arbitration 13-02727, May 19, 2014). [read post]
11 Mar 2015, 8:23 am
FINRA Department of Market Regulation, Complainant, v. [read post]
12 Jun 2013, 4:47 am
Atkins had been with FINRA and its predecessor NASD since 1993, and in 2005 became the first director of FINRA's Boca Raton Office. [read post]
14 Aug 2020, 5:49 am
In today's featured FINRA customer arbit... [read post]
4 May 2018, 11:17 am
For reasons not explained by FINRA, the OHO Dec... [read post]
25 Feb 2021, 12:17 pm
On appeal, FINRA's NAC affirmed. [read post]
3 Jul 2019, 7:37 am
It's another one of those woulda, coulda, shoulda matters in which FINRA has the firm dead to rights. [read post]
22 Mar 2019, 6:09 am
Lied to FINRA. [read post]
14 Dec 2016, 6:35 am
Gimme a "C" for FINRA . . . [read post]
7 Jan 2022, 11:54 am
In a recent regulatory settlement, FINRA charged an industry respondent with violating FINRA Rule 3220's limit of a $100 gift. [read post]
10 Aug 2018, 2:39 am
"Bill Singer Submits Rare FINRA Comment" (BrokeAndBroker.com Blog, June 1, 2017) http://www.brokeandbroker.com/3487/finra-comment-singer/ In part, Bill Singer's submitted comment raised the following issuehttp://brokeandbroker.com/PDF/170530FINRAComment.pdf:Board Beyond Belief The Special Notice seems a familiar effort to manicure the hand of FINRA, which remains within a metal gauntlet. [read post]
22 May 2017, 8:29 am
For a sense of what Bill has to say and the depths of his frustration with FINRA, consider this extract:From my perspective, FINRA is often little more than an inept and frequently ineffective regulator. [read post]
13 May 2013, 3:07 am
In the Matter of the FINRA Arbitration Between... [read post]
29 Aug 2016, 11:10 am
Since the affiliate is not a broker-dealer and is not a FINRA member firm, why should the affiliate... [read post]
7 Jan 2021, 12:48 pm
A recently filed FINRA customer complaint alleges that Mr. [read post]
2 Mar 2009, 2:45 am
For cases filed after March 30, 2009, FINRA has raised the threshold for a three arbitrator panel to $100,000.I am not so sure this is a wise decision. [read post]
