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25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
25 Feb 2021, 10:00 pm
Morgan Lewis marks its 15th year of publishing its SEC and FINRA Year in Review and a Look Forward, a comprehensive summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission and Financial Industry Regulatory Authority. [read post]
25 Feb 2021, 12:17 pm
The surprising thing about the matter is not that the Respondent got caught but the nature of FINRA's sanctions of the misconduct.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and ... [read post]
25 Feb 2021, 8:58 am
Former David Lerner Associate Broker May Have Sold Spirit of America Energy Fund Among Others to Customers The Financial Industry Regulatory Authority (FINRA) has suspended Florida-based broker, Charles Bonilla, for six months. [read post]
24 Feb 2021, 2:55 am
By reducing the corporate income tax rate in 2017, the TCJA made the American economy more competitive with other industrialized countries and boosted the incentive to invest in America. [read post]
23 Feb 2021, 11:38 am
According to a FINRA (the Financial Industry Regulatory Authority) letter of Acceptance, Waiver, and Consent (AWC), between FINRA and respondents Worden Capital Management (Worden) and principal Jamie Worden (Worden): “From January 2015 to October 2019, WCM and Worden failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with FINRA’s suitability rule… [read post]
23 Feb 2021, 7:43 am
Ex-New York Stockbroker Named In Multiple Customer Disputes Apostolos Nicolas Pitsironis, a former-Janney Montgomery Scott registered representative who was barred by the Financial Industry Regulatory Authority (FINRA) in 2019 for allegedly defrauding investors, was arrested on February 10 in Dix Hills, New York in a parallel criminal fraud case. [read post]
22 Feb 2021, 11:00 am
Herbert Carlisle, the president and CEO of the National Defense Industrial Association. [read post]
22 Feb 2021, 7:44 am
FINRA Arbitration Claim Seeks $250K in Damages, Possibly Involving Energy 11 LP An investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim naming David Lerner Associate, Glenn Howard Werner. [read post]
22 Feb 2021, 6:33 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Jeffrey Leach (Leach), currently employed by Morgan Stanley has been subject to at least three customer complaints during the course of his career. [read post]
22 Feb 2021, 6:31 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Joseph Hain (Hain), currently employed by Noble Capital Markets, Inc. has been subject to at least two customer complaints during the course of his career. [read post]
19 Feb 2021, 4:58 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel recently awarded $19 million to a 94-year-old investor based on findings of abuse of fiduciary duty, fraudulent misrepresentations, and elder financial fraud. [read post]
19 Feb 2021, 1:06 pm
FINRA Reportedly Bars Broker Scott Reed after Allegations of Selling Away According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has barred financial advisor Scott Wayne Reed (CRD #3007033) from the securities industry after he reportedly failed to provide information in FINRA’s investigation into circumstances of his termination from his member firm. [read post]
19 Feb 2021, 12:44 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Scott Wayne Reed from the securities industry over allegations that Mr. [read post]
19 Feb 2021, 8:33 am
Fahsholtz’s FINRA BrokerCheck Report, published by the Financial Industry Regulatory Authority (“FINRA”) indicates that he is the subject of five pending securities arbitration claims, and that three other disputes lodged against Fahsholtz have been settled. [read post]
19 Feb 2021, 7:25 am
FINRA Rule 8210 allows FINRA’s enforcement attorneys the authority to investigate matters under its regulatory purview. [read post]
