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19 Jul 2022, 11:24 am
FINRA just released its 2022 Arbitration Statistics.New cases are down over last year, only 781 Customer cases, and 479 Industry cases filed so far this year.Interesting that there were 54 Regulation BI Cases filed, we expect to see that increase going forward. [read post]
8 May 2013, 4:45 pm
FINRA recently entered into a settlement with Gar Wood Securities LLC (the “AWC”) concerning allegations that Gar Wood facilitated the sale of restricted securities in violation of the Section 5 of the 1933 Act, and the Firm failed to identify “suspicious” activity in a customer’s account that should have warranted the filing of a Form SAR-SF. [read post]
8 May 2015, 3:06 am
The biggest independent broker-dealer getting hit like this by FINRA is the equivalent of FINRA fining the old Merrill Lynch in wire house terms. [read post]
24 Nov 2020, 10:55 am
FINRA then began an investigation into the allegations, made by a “senior customer. [read post]
18 Oct 2011, 5:00 am
When a member fails to pay a fine levied by FINRA, FINRA can revoke the member's registration, resulting in exclusion from the industry. [read post]
18 Nov 2022, 9:19 am
Yesterday, each of Nasdaq, FINRA and NYSE released Regulatory Alerts highlighting concerns surrounding fraudulent activities in Small-Cap IPOs. [read post]
30 Mar 2022, 8:23 am
After FINRA’s investigation into Fedorko’s trading, it imposed sanctions of a $7,500 fine and a ten-month suspension from affiliation with any FINRA member broker in all capacities. [read post]
24 Jan 2024, 7:34 am
FINRA Rule 3240 – Borrowing from Customers FINRA, the regulator who over sees brokers and brokerage firms, has rules in place to protect investors. [read post]
8 May 2013, 7:51 am
FINRA recently announced that Paul Grover Gomez a registered representative in El Toro, California has been fined $75,000 and suspended from association with any FINRA member in any capacity for three months. [read post]
3 Mar 2014, 3:24 pm
Recently, FINRA released a report regarding disciplinary actions for the month of February 2014. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Barred by FINRA in All Capacities According to a Letter of Acceptance, Waiver, and Consent (“AWC”), without admitting or denying FINRA’s findings, Carlos Leston agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Barred by FINRA in All Capacities According to a Letter of Acceptance, Waiver, and Consent (“AWC”), without admitting or denying FINRA’s findings, Carlos Leston agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
22 Jan 2021, 2:06 pm
As a result of the alleged misconduct, Magill has been barred from associating with any FINRA member firm in all capacities. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Barred by FINRA in All Capacities According to a Letter of Acceptance, Waiver, and Consent (“AWC”), without admitting or denying FINRA’s findings, Carlos Leston agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
22 Jan 2021, 2:06 pm
As a result of the alleged misconduct, Magill has been barred from associating with any FINRA member firm in all capacities. [read post]
15 Apr 2019, 12:37 pm
According to FINRA, H. [read post]
29 Nov 2023, 7:29 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
1 Jun 2022, 11:12 am
On July 20, 2018, FINRA initiated a regulatory action against Francisco Valenzuela alleging that he failed to respond to FINRA’s request for information. [read post]
1 Dec 2020, 11:26 am
The post Former Broker Cynthia Cowden Has Been Barred by FINRA in Connection to Unsuitability Allegations appeared first on . [read post]
1 Dec 2020, 11:26 am
The post Former Broker Cynthia Cowden Has Been Barred by FINRA in Connection to Unsuitability Allegations appeared first on . [read post]
