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4 Sep 2021, 7:45 am
FINRA has barred former Merrill Lynch broker Scott Madison from the securities industry, after he failed to provide information and documents requested by FINRA in connection with its investigation into the circumstances of his termination from Merrill Lynch. [read post]
4 Sep 2021, 7:06 am
FINRA has barred former Raymond James Financial Services, Inc. broker Jeffrey Travis Drost from the securities industry, after he refused to provide information and documents requested by FINRA. [read post]
4 Sep 2021, 6:46 am
FINRA has suspended former Securities America, Inc. [read post]
4 Sep 2021, 6:31 am
FINRA has suspended Deutsche Bank Securities Inc. broker Garrett Neubart from the securities industry for two months. [read post]
4 Sep 2021, 5:52 am
FINRA has suspended and fined former LPL Financial LLC broker Joffre Salazar from the securities industry for one year. [read post]
4 Sep 2021, 5:39 am
FINRA has suspended and fined former Raymond James Financial Services, Inc. broker David Van Geffen from the securities industry for 15 business days. [read post]
4 Sep 2021, 5:24 am
According to FINRA, Primary acted as finder or placement agent for at least 70 EB-5 offerings during the period of December 2013 through February 2019. [read post]
3 Sep 2021, 10:36 am
FINRA’s Three “Rs” for Avoiding (or Uncovering) Excessive Trading FINRA’s Investor Insight also provides tips for investors to avoid (or uncover) excessive trading. [read post]
3 Sep 2021, 8:03 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended stockbroker Joseph Lianzo from the securities industry for eight months. [read post]
2 Sep 2021, 1:03 pm
Our investor fraud attorneys are representing these Japanese investors in their FINRA arbitration claim. [read post]
1 Sep 2021, 2:22 pm
The public filing, which amends the registration statement that Robinhood filed in connection with its July 2021 initial public offering (IPO), discloses that the SEC’s Division of Examinations and Industry Regulatory Authority (“FINRA”) have submitted inquires to Robinhood related to whether any employee executed trades in certain securities, including GameStop Corp. and AMC Entertainment Holdings, Inc., before the public announcement that Robinhood would restrict trading… [read post]
1 Sep 2021, 1:38 pm
The filing also discloses that the SEC and Financial Industry Regulatory Authority (“FINRA”) are investigating whether any Robinhood employees traded “meme stocks,” including GameStop Corp. and AMC Entertainment Holdings, Inc., before the public announcement that Robinhood would impose trading restrictions on those securities on January 28, 2021. [read post]
1 Sep 2021, 1:38 pm
The filing also discloses that the SEC and Financial Industry Regulatory Authority (“FINRA”) are investigating whether any Robinhood employees traded “meme stocks,” including GameStop Corp. and AMC Entertainment Holdings, Inc., before the public announcement that Robinhood would impose trading restrictions on those securities on January 28, 2021. [read post]
1 Sep 2021, 11:47 am
FINRA’s findings indicate that this investigation originated from a tip to FINRA’s Securities Helpline for Seniors. [read post]
1 Sep 2021, 11:17 am
., a registered representative (RR) – regulated by the Financial Industry Regulatory Authority (FINRA) is not easy. [read post]
31 Aug 2021, 7:36 am
FINRA barred him in 2020. [read post]
Silver Law Group Represents Victims Of GPB Funds Ponzi Scheme In Claims Against HighTower Securities
31 Aug 2021, 7:25 am
FINRA-registered brokers and firms are subject to arbitration to resolve disputes. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
30 Aug 2021, 10:00 pm
FINRA filed a proposed rule change with the US Securities and Exchange Commission (SEC) on August 26, 2021 to delay the effective date of changes to FINRA Rule 4210 that were previously implemented on December 15, 2016. [read post]
