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13 Sep 2018, 6:47 am
Business Ventures and Suspension Shaw was recently fined $10,000 and suspended by FINRA for six months, effective 08/07/2018 for numerous violations, including: Continue reading The post FINRA Hands Satya Brata Shaw Six-Month Suspension and $10K Fine appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Apr 2022, 1:08 pm
The post FINRA Arbitration Attorney Jake Zamansky Offers Advice to Retiree Investors in TalkMarkets appeared first on Zamansky LLC. [read post]
1 Feb 2019, 8:45 am
Two of the disclosures in 2018 are regulatory actions from FINRA, related to the same action. [read post]
15 Dec 2020, 10:51 am
FINRA’s ongoing campaign to rein in alleged sales abuses involving short-term trading of unit investment trusts in customer accounts has led a 23-year veteran advisor to accept a $10,000 fine and three-month suspension. [read post]
2 May 2011, 9:09 pm
" FINRA's new Rule 2111 expands a broker's responsibility toward the customer. [read post]
13 Oct 2016, 9:04 am
Earlier this month, FINRA posted a draft Status Report detailing the progress FINRA has made … Continue reading FINRA Dispute Resolution Makes Great Progress on Implementing Task Force Recommendations → [read post]
30 Jun 2017, 11:58 am
FINRA Rule 9552. [read post]
22 Jun 2018, 1:07 pm
In sum, FINRA is finally updating an overworked and inefficient system. [read post]
20 Dec 2017, 7:45 am
(FINRA Case #2017054827701) Lorenzo C. [read post]
6 Jun 2017, 6:39 am
(FINRA Case #2013038868601) Santander Securities LLC (CRD #41791, Dorchester, Massachusetts) submitted an AWC (Accept, Waiver & Consent) in which the firm was censured, fined $175,000 and ordered to pay $62,807.48, plus interest, in restitution to customers. [read post]
17 May 2012, 4:52 am
As discussed by the ADR Prof Blog, on May 3, the SEC approved the proposed rule change to amend FINRA’s Customer and Industry Codes of Arbitration Procedure to raise the limit for simplified arbitration from $25,000 to $50,000. [read post]
14 Jan 2009, 11:27 am
http://www.finra.org/Newsroom/NewsReleases/2009/P117686For Release: Contacts: Thursday, January 8, 2009 Brendan Intindola (646) 315-7277 Herb Perone (202) 728-8464 SEC Approves FINRA Rule to Drastically Limit Motions to Dismiss in Arbitration Abusive Motions to Dismiss Cases Will Face Stringent Sanctions Washington, DC â€â [read post]
18 Dec 2020, 5:07 pm
FINRA has suspended financial advisor Michael Anthony Tavel (CRD #4862463) from the securities industry for 18 months and fined him $20,000. [read post]
29 Apr 2021, 10:02 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Martirosian from the securities industry. [read post]
18 Sep 2015, 7:58 am
In this instance reported by FINRA, seven of the ten individuals had moved to Global Arena’s new office from HFP Capital Market, a firm that was expelled by FINRA in 2013. [read post]
13 Oct 2016, 11:45 am
If FINRA continues at this rate for the rest of 2016, then its total fines would come to nearly $160 million. [read post]
6 Apr 2015, 6:23 pm
The FINRA order may be found here. [read post]
20 Feb 2015, 5:17 am
Read how it all turned out.Case In PointAs previously reported in the BrokeAndBroker.com Blog, FINRA was defendin... [read post]
12 Jun 2024, 1:41 pm
Individual FINRA Arbitration Lawsuit You may wonder whether a large class action lawsuit is a better litigation option than an individual FINRA arbitration case. [read post]
23 Mar 2009, 6:25 am
SEC Approves FINRA Rule 5122 re Private Placements of Securities Issued by MembersThe SEC approved FINRA's proposal to adopt new FINRA Rule 5122, that will require a member offering or selling any security in a private placement issued by the member or a "control entity" to:(1) disclose to investors in a private placement memorandum, term sheet or other offering document the intended use of offering proceeds and the offering expenses;(2) file the offering… [read post]
