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22 Aug 2021, 6:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6023/securities-industry-commentator/Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration (BrokeAndBroker.com Blog)VOTE for FINRA Small Firm Governor Paige W. [read post]
20 Aug 2021, 2:50 pm
Wright consented to the bar after FINRA alleged that he failed to cooperate with a FINRA investigation in whether Mr. [read post]
20 Aug 2021, 2:28 pm
FINRA also fined Mr. [read post]
20 Aug 2021, 1:48 pm
FINRA also fined both brokers $5,000 each. [read post]
20 Aug 2021, 7:41 am
In June, FINRA barred Birkley indefinitely after he declined to provide documents and information related to the self-regulatory authority’s probe into his termination by SagePoint. [read post]
19 Aug 2021, 11:39 am
FINRA also accused Cambridge of having insufficient supervisory systems. [read post]
19 Aug 2021, 3:00 am
The problem was, FINRA didn’t want the responsibility either, and nobody besides the NYSE was very enthused about a change. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
18 Aug 2021, 1:21 pm
” To help combat the financial exploitation of seniors, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and North American Securities Administrators Association (NASAA), have joined forces to offer a new training program to securities companies to better protect their over-65 clients. [read post]
18 Aug 2021, 12:21 pm
FINRA encourages comments on the paper, which should be sent by October 16 using FINRA’s online comment form, email, or regular mail. [read post]
18 Aug 2021, 6:43 am
FINRA Rule 3241: Position Of Trust In 2020, FINRA adopted a new rule to prevent anyone registered with FINRA-associated firm members become beneficiaries, executor, trustee, have any powers of attorney or other “position of trust” for any of their member firm clients. [read post]
18 Aug 2021, 5:37 am
They are also required under FINRA rules to fully disclose the downside of the investments, which should be suitable for the client’s age and risk tolerance. [read post]
16 Aug 2021, 10:55 am
Continue reading The post GPB Capital Investor Recovers Full Investment Through FINRA Arbitration Award appeared first on Securities Arbitration Lawyer Blog. [read post]
16 Aug 2021, 9:12 am
Vanderbilt Financial Advisor Accused of Using “Worst” Sales Tactics to Sell GPB Investments If you suffered financial losses while working with Vanderbilt Financial registered representative Jeffrey Lewis Gitterman, you may have grounds for pursuing damages through Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
16 Aug 2021, 8:54 am
Read the advisor’s profile on the advisory firm’s website, read any reviews you can find online, and see if the advisor is registered through FINRA BrokerCheck or your state’s registration authority. [read post]
