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11 Sep 2021, 4:29 am
Broker Adam Belardino (also known as Adam Gerard Belardino) was suspended from acting as a broker by FINRA after he allegedly failed to appear for on-the-record testimony requested by FINRA staff on two occasions, according to a FINRA complaint under review by securities attorney Alan Rosca. [read post]
10 Sep 2021, 1:27 pm
FINRA Fines and Suspends Young Merrill Trader For Spoofing Treasuries (BrokeAndBroker.com Blog)Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs by SEC Chair Gary GenslerSEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay More Than $539 Million in Settlement for Distribution to Investors (SEC Release)SEC Requests Briefing on Alleged FINRA Denial of Service in ExpungementsIn the Matter of… [read post]
10 Sep 2021, 1:27 pm
Unfortunately, as FINRA sees it, he's got several Aces of Spades hidden above his wrist and is rigging the game -- sure, let's call it as it is: He's cheating. [read post]
10 Sep 2021, 1:27 pm
The Wheels on the Bus Go Round and Round and Drive Over A Wall Street Career (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6063/finra-awc-bus/In today's blog we come upon an all-too common bit of Wall Street misconduct: fudging personal expenses so as to make them look like reimbursable business expenses. [read post]
10 Sep 2021, 1:03 pm
Customer Disputes Allege Improper Sales Of Diamonds According to Petersen’s BrokerCheck Report, published by the Financial Industry Regulatory Authority, eight investors have filed FINRA arbitration claims involving allegations of “fraud and breach of duty related to the purchase of diamonds Petersen sold . . . [read post]
10 Sep 2021, 9:36 am
According to the Wall Street Journal, FINRA’s Vice President for Corporate Financing has said these products are an “ongoing concern” for the regulator and that “firms must ensure they are suitable for an investor’s risk profile and investment strategy. [read post]
10 Sep 2021, 5:17 am
According to a publicly filed Acceptance, Waiver, and Consent (AWC) filed with the Financial Industry Regulatory Authority (FINRA), Wells accepted the lifetime ban in lieu of appearing for or providing information to FINRA pursuant to FINRA Rule 8210. [read post]
9 Sep 2021, 11:24 am
FINRA Sanctions Santander Investment Securities for Inaccurate Disclosures According to the Financial Industry Regulatory Authority (FINRA) on September 7, 2021, the regulator has censured and fined Santander Investment Securities (CRD #37216) $175,000 for inaccurate and omitted disclosures. [read post]
9 Sep 2021, 10:25 am
After Belardino allegedly failed to provide information and testimony in FINRA’s investigation, the regulator reportedly barred him from associating with any FINRA member at any time. [read post]
9 Sep 2021, 8:42 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
9 Sep 2021, 3:30 am
., formerly known as Pink OTC Markets Inc.) is an IDQS, and the old OTC Bulletin Board (which is a facility of FINRA) is an IDQS (FINRA filed with the SEC to shutter the OTCBB back in September 2020, after the SEC adopted the Rule 15c2-11 amendments. [read post]
8 Sep 2021, 11:26 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
8 Sep 2021, 9:14 am
On September 7, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Santander Investment Securities Inc. [read post]
7 Sep 2021, 7:38 am
Rather than using the funds for those purposes, FINRA claims that he deposited the money into his bank account and paid personal expenses. [read post]
7 Sep 2021, 6:41 am
According to the SEC complaint and FINRA, Woods was a registered representative for Oppenheimer until he was “asked to resign” in 2016 for failing to accurately disclose his involvement with Southport and Horizon. [read post]
7 Sep 2021, 3:37 am
Certainly, it's part of FINRA's tawd... [read post]
7 Sep 2021, 3:37 am
FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders (BrokeAndBroker.com Blog)How the first disabled and woman-owned NYSE floor broker is changing Wall Street (CNBC.com)Septuagenarian Broker Accuses Wells of Reneging on Promise of Debt-Free Retirement (September 7, 2021 by Miriam Rozen)In re: Chapter 7 / Anthony Fusco a/k/a Anthony John Fusco, Debtor (United States Bankruptcy Court for the Eastern District of New York, No. 18-42451) -and-Fred Blake a/k/a… [read post]
7 Sep 2021, 3:37 am
FINRA Suspends Unregister... [read post]
7 Sep 2021, 3:37 am
4 questions for Wall Street fraud expert Bill Singer (Financial Planning Podcast hosted by Julie Coleman)FINRA Suspends Unregistered Female for Following Registered Male Rep's Orders (BrokeAndBroker.com Blog)How the first disabled and woman-owned NYSE floor broker is changing Wall Street (CNBC.com)International Money Launderer Sentenced to More Than 11 Years in Prison for Laundering Millions of Dollars in Cyber Crime Schemes / Defendant Ordered to Pay Victims in U.S. and Elsewhere More… [read post]
7 Sep 2021, 3:37 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6046/securities-industry-commentator/4 questions for Wall Street fraud expert Bill Singer (Financial Planning Podcast hosted by Julie Coleman)Federal Court Finds Lack of Jurisdiction In FINRA OHO Teleconferencing LawsuitAlpine Securities Corporation, Plaintiff, v. [read post]
