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17 May 2017, 6:42 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
9 Jan 2020, 6:25 am
Pastor signed the letter, accepting the indefinite bar from any association with any FINRA member broker. [read post]
18 Dec 2017, 2:06 pm
FINRA found that Azad failed to provide FINRA requested documents and information in connection with its investigation into allegations of misconduct by Azad. [read post]
13 May 2017, 8:36 am
It is unclear at this time whether FINRA’s allegations concern these disclosed entities. [read post]
1 Apr 2024, 7:16 am
FINRA then permanently barred Kinsey from any association with a FINRA member firm, effective February 13, 2024. [read post]
13 Jul 2018, 7:17 am
In December 2017, FINRA barred James from the industry after James failed to provide FINRA with requested documents and information regarding these allegations and activities. [read post]
8 Oct 2021, 6:21 am
Variable annuity sales are regulated by the SEC and FINRA. [read post]
5 Jun 2009, 6:43 am
FINRA filed with the SEC a proposed rule change to adopt on a permanent basis the temporary and permanent cease and desist authority pilot program without any substantive changes to the terms of the existing program. [read post]
11 Aug 2009, 6:51 am
One of the persistent criticisms of arbitration of customer-broker disputes before FINRA Dispute Resolution is the requirement that one of three arbitrators must come from the securities industry. [read post]
26 May 2010, 1:14 pm
FINRA imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
28 Sep 2010, 10:37 am
FINRA announced today that it will file a rule proposal next month that would allow all investors filing arbitration claims the option of having an all-public panel. [read post]
30 Jun 2010, 3:25 pm
The SEC will publish for public comment proposals by the national securities exchanges and FINRA to expand a recently adopted circuit breaker program to include all stocks in the Russell 1000 Index and certain exchange-traded funds. [read post]
13 Apr 2011, 5:35 am
On April 12, 2011 the SEC approved a FINRA proposed rule change to amend the Code of Arbitration Procedure (for both Customer and Industry Disputes) to provide moving parties with a five-day period to reply to responses to motions. [read post]
22 Oct 2010, 7:35 am
FINRA announced earlier this week that it fined the former Ferris, Baker Watts LLC, acquired by RBC Wealth Management, $500,000 for inadequate supervision of sales of reverse convertible notes to retail customers as well as unsuitable sales of reverse convertibles... [read post]
26 Mar 2009, 2:07 pm
Ketchum, Chairman and Chief Executive Officer, FINRA, testified today before the Senate Committee on Banking, Housing, and Urban Affairs, as did Fred J. [read post]
19 Jul 2011, 12:44 pm
At a recent FINRA Board of Governors meeting, the following actions were taken: Arbitration Claims Involving Fair Labor Standards Act The Board considered a proposed amendment to Rule 13204 of the Code of Arbitration Procedure for Industry Disputes to add... [read post]
4 Jan 2012, 7:38 am
The following is a brief breakdown of the FINRA Rules applicable to suitability. [read post]
18 Nov 2015, 2:02 pm
For the full FINRA findings, see FINRA Case #2014043428601. [read post]
21 May 2013, 3:31 pm
FINRA ordered LPL to establish a $1.5 million fund to compensate affected brokerage customers due to allegedly material misstatements it made to FINRA during the investigation that revealed the email failures. [read post]
28 Jun 2016, 2:05 pm
FINRA records indicate that Mr. [read post]
