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20 Mar 2012, 3:35 pm
For claims over $100,000, each party strikes arbitrators from the FINRA provided list and FINRA appoints three arbitrators. [read post]
9 Nov 2012, 7:42 pm
Guidance on Disputes between Investors and Investment Advisers who are not FINRA-regulated firms, FINRA FINRA Opening Arbitration Process To Investment Advisers, Spokeswoman Says, Bloomberg/BNA, October 29, 2012 More Blog Posts:Court Upholds Ex-NBA Star Horace Grant $1.46M FINRA Arbitration Award from Morgan Keegan & Co. [read post]
25 Apr 2019, 7:11 am
With FINRA’s issuance of Regulatory Notice 19-10, member firms should take the opportunity to review their policies and procedures regarding communications with customers at the time of registered representative departures to ensure that they are compliant with FINRA’s expectations. [read post]
17 Feb 2010, 11:23 am
FINRA, Financial Industry Regulatory Authority announced that it was fining H&R Block Financial Advisors, Inc. [read post]
10 Mar 2010, 12:47 pm
And that would mean the end of FINRA. [read post]
23 Aug 2011, 5:48 pm
FINRA has developed this plan because the SEC is [...] [read post]
30 Jun 2017, 11:18 am
In securities arbitration, despite pressure from investor advocates to add transparency to the FINRA forum by requiring arbitrators to issue explained awards, FINRA’s current rule requires a panel to include an explanation in an award only upon a joint request from … Continue reading FINRA Arbitrator Writes Explained Award To Create Precedent → [read post]
30 May 2010, 7:03 pm
The SEC has published for public comment a proposed FINRA rule change to the process for selecting arbitrators in FINRA Dispute Resolution arbitrations. [read post]
23 Aug 2011, 5:48 pm
FINRA has developed this plan because the SEC is [...] [read post]
4 Jul 2011, 9:49 am
These critics claim that FINRA has done a poor job of protecting investors from unlawful sales practices by its member brokerage firms, according to an InvestmentNews article entitled “Finra’s fines don’t match the crimes, critics say. [read post]
25 Jul 2016, 11:15 am
Last Friday, FINRA issued Regulatory Notice 16-25 reminding member firms that, under FINRA Rules 12200 and 13200, they have a regulatory duty to arbitrate at the request of a customer (account-related disputes) or an associated person (employment disputes). [read post]
9 Oct 2009, 10:57 am
FINRA Dispute Resolution announced earlier this week that it is expanding the pilot program it launched in 2008 to provide investors with more choice in selecting arbitrators for customer cases heard by FINRA arbitrators. [read post]
30 Jun 2017, 11:18 am
In securities arbitration, despite pressure from investor advocates to add transparency to the FINRA forum by requiring arbitrators to issue explained awards, FINRA’s current rule requires a panel to include an explanation in an award only upon a joint request from … Continue reading FINRA Arbitrator Writes Explained Award To Create Precedent → [read post]
27 Oct 2020, 9:10 am
Bahrenburg has served in the role since 2012 and has been registered with FINRA since 2007. [read post]
14 Apr 2021, 12:56 pm
FINRA Disciplinary Proceeding No. 2020068395801 Continue reading The post FINRA Files Enforcement Action Against Hugues Guirand, Formerly of Woodstock Financial Group, Inc. [read post]
15 Jun 2016, 7:00 am
According to the FINRA allegations, Mr. [read post]
9 Aug 2011, 2:46 am
All PPMs filed will also be available to FINRA examiners when they conduct an on-site examination of FINRA members. [read post]
30 May 2017, 12:10 pm
On May 17, 2017, at the annual FINRA conference in Washington D.C., FINRA President and CEO Robert Cook discussed the recently-launched FINRA360 initiative: a top-to-bottom review of FINRA’s operations and organization. [read post]
4 Feb 2021, 1:08 pm
(CRD NO. 19585) has reportedly been a FINRA member since July 1987 and is headquartered in New York, NY. [read post]
14 Feb 2012, 6:55 am
FINRA (Financial Industry Regulatory Authority) has taken disciplinary actions against the following individuals for violations of FINRA rules and federal securities laws, rules and regulations. [read post]
