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17 May 2022, 10:26 am
FINRA suspended and fined former Ameriprise broker Jonathan M. [read post]
1 Apr 2013, 1:11 am
In UBS, the court held that a customer of a FINRA firm is anyone “not a broker or dealer, who purchases commodities or services from a FINRA member in the course of the member’s business activities,” including “investment banking and the securities business. [read post]
29 Dec 2020, 7:13 am
FINRA found that while Pina was associated with PFS, he borrowed a total of $72,000 from four of his clients. [read post]
17 Feb 2014, 5:26 am
I believe there are pluses and minuses to allowing mid-litigation referral of customer claims to FINRA. [read post]
13 Feb 2023, 7:20 am
Based on the FINRA’s findings, Fortune reportedly violated FINRA Rules 3110, 2330, and 2010. [read post]
8 Apr 2019, 2:17 am
Financial professionals who have taken and passed the Series 6, 7, 63, 65 or 66 exams know that an arrest and conviction can decimate careers regulated and overseen by FINRA. [read post]
2 May 2012, 6:29 am
FINRA announced that it has fined Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
8 Apr 2011, 10:35 am
According to FINRA, without performing proper due diligence, the broker/dealers that sold the private placements could not identify and understand the inherent risks of the offerings. [read post]
2 Apr 2021, 9:22 am
FINRA has suspended former Cambridge Investment Research, Inc. broker Keith Holcomb from the securities industry for 6 months for borrowing money from a customer without notifying or receiving approval from his firm. [read post]
3 Oct 2023, 7:26 am
Continue Reading › The post How unsuitable investments, unnecessary commissions and fees can hurt a vulnerable investor: FINRA disciplines Christopher F. [read post]
7 Jul 2021, 6:39 am
Continue reading The post FINRA Arbitration Award: SunTrust Investment Services, Inc. and SunTrust Advisory Services, Inc. [read post]
5 Jun 2012, 3:13 pm
The GAO found that both the SEC and FINRA do not conduct retrospective reviews of the impact of FINRA's rules. [read post]
15 Jun 2015, 10:00 am
In FINRA Notice to Members 15-16, FINRA has solicited comments to its proposal that would make communications with the public a bit easier. [read post]
19 Jan 2011, 8:15 am
Summary of FINRA Rule Initiatives (Update 1-2011) [read post]
10 May 2019, 11:43 am
The FINRA Panel awarded Ms. [read post]
6 Apr 2008, 10:12 am
FINRA's controversial rule change proposal, which would effectively force every arbitration case to a full hearing, regardless of the merits of the claim, is before the SEC for approval.The comment period ends on April 10, 2008. [read post]
Former Wells Fargo Advisor James Seijas Accepts Ban from FINRA Amid Allegations of Ponzi Investments
8 Nov 2021, 2:14 pm
The reason for the ban was a result of Seijas consciously failing to respond to FINRA’s requests for information authorized by FINRA Rule 8210. [read post]
22 Jan 2018, 8:29 am
(FINRA Case #2016049316301) Joseph Leigh Cotter (CRD #1263122, Charlotte, North Carolina) – An AWC (Accept, Waiver, Consent) was issued in which Cotter was assessed a deferred fine of $15,000, suspended from association with any FINRA member in all capacities for nine months, and ordered to pay $100,549.42, plus interest, in deferred disgorgement of commissions received. [read post]
14 Jan 2011, 12:44 pm
FINRA is looking for arbitrators for its rosters in many areas of the country, particularly smaller urban areas. [read post]
26 Jan 2018, 8:20 am
(FINRA Case #2017052709201) Steven John Meyer (CRD #4798400, South Plainfield, New Jersey)– An AWC (Accept, Waiver, Consent) was issued in which Meyer was barred from association with any FINRA member in all capacities. [read post]
