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5 Nov 2021, 11:36 am
FINRA has suspended former LPL Financial LLC broker Michael Miles Hartlett from the securities industry for ten business days. [read post]
23 Sep 2022, 7:47 am
FINRA also suspended the eight brokers for periods from three to eight months. [read post]
24 Apr 2015, 11:46 am
One thing is sure: the Financial Industry Regulatory Authority (FINRA) has barred Aaron Parthemer from associating with any FINRA member broker-dealer in any capacity for violating industry rules by participating in private securities transactions, outside business activities, and for making loans to his clients, according to FINRA Letter of Acceptance, Waiver and Consent No. 2011030405801 (AWC). [read post]
11 Nov 2016, 6:52 am
The CAB Rules, which codify the creation and regulation of a new FINRA Membership category designed for broker/dealers that restrict their activities to certain designated corporate finance transactions, are discussed in greater detail in a recent Parker MacIntyre blog post (see “SEC Approves FINRA’s Capital Acquisition Broker Rules (“CAB Rules”)”). [read post]
10 Aug 2020, 11:06 am
SR-FINRA-2020-020 [read post]
15 Dec 2010, 2:46 pm
A recent enforcement action and consent order highlights the broker-dealer community's ongoing struggle with FINRA Rule 3040. [read post]
20 May 2019, 7:01 am
The post FINRA Arbitration Next For Wells Fargo And Two Advisors appeared first on Securities Arbitration Lawyers Blog. [read post]
16 Apr 2015, 1:51 pm
Young was accused of violating NASD Rule 2370, FINRA Rule 3240 and FINRA Rule 2010. [read post]
13 Feb 2012, 2:39 pm
FINRA then invites any arbitrators previously ranked by the parties to serve. [read post]
4 Oct 2019, 8:38 am
FINRA has a mandatory system of customer arbitration. [read post]
24 Oct 2017, 4:38 am
The one thing that is apparently quite easy and simple for FINRA, however, is to protect the name of the affiliated banks of its member firms. [read post]
21 May 2010, 12:26 pm
With respect to Chanse Menendez, under FINRA rules, a firm or individual named in a complaint can file a response and request a hearing before a FINRA disciplinary panel. [read post]
25 May 2021, 6:19 am
Claims may be brought in securities arbitration before FINRA. [read post]
23 Aug 2018, 5:13 am
Consequently, FINRA imposed a $5,000 fine and 20 day suspension. [read post]
9 Mar 2015, 4:18 am
The SEC recently approved a FINRA proposal that will further restrict who can serve as “public” arbitrators. [read post]
23 Sep 2015, 2:42 pm
Since that time, FINRA has reportedly received more than 1500 calls to the hotline. [read post]
10 Jun 2014, 2:18 pm
For more information on items 1-4 summarized above, see this FINRA release, and for more information on items 5-7 summarized above, see this FINRA release. [read post]
2 Feb 2016, 6:36 am
For the full FINRA allegations, see FINRA AWC No. 2013036647401. [read post]
10 Nov 2023, 7:29 am
In it, Terzis agreed to FINRA’s sanctions of being permanently barred from any association with FINRA members, effective 12/23/2022. [read post]
25 Jan 2017, 6:08 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
