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29 Jul 2014, 4:38 am
But you better be ready with a convincing answer someone from accounting calls you and starts asking their own great questions.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, James Xavier Dunne ... [read post]
2 Jan 2024, 1:04 pm
The 2018 AWC For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and withou... [read post]
6 Jun 2014, 8:55 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Joseph Eugene Ayers submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Oct 2015, 5:36 am
Let's just say, we got a guy who may have gone through the motions . . . if even that.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting o... [read post]
26 Jun 2014, 3:01 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Marcy B. [read post]
7 Dec 2015, 2:06 am
In keeping with that spirit, today's cheerful BrokeAndBroker Blog considers the claims of a deceased mother's son and how his anger over the handling of a Transfer on Death account besmirched a veteran stockbroker's reputation.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration S... [read post]
7 Nov 2013, 3:26 am
In today's Broke And Broker Blog, we have the case of a broker who may have asked his sales assistant to go just a little too much above and a little too far beyond.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Thomas S. [read post]
30 Jul 2013, 4:12 am
Some may see this case as nit picking; others will find it a helpful lesson as to what needs to be handled with care.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Olympia Asset Management. [read post]
12 Nov 2018, 5:44 am
" Suffice it to say, the victimized stockbroker emerges from the regulatory ringer with an expungement recommendation, but I doubt that she feels the outcome off-set the stress she was put through.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2018, associated person Claimant Wilson representing herself pro se sough... [read post]
14 Mar 2017, 6:37 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Mark Schklar submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA ac... [read post]
23 May 2017, 2:10 am
Kohn for 2017 FINRA Small Firm Governor" (BrokeAndBroker.com Blog, May 30, 2017), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") Small Firm community; called for the implementation of overdue self-regulatory reform; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulator; and… [read post]
12 Jul 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains a comprehensive archive of frequently asked questions regarding a registered person’s reporting obligations with respect to mandated Forms U4 and U5. [read post]
24 Feb 2014, 4:50 am
Of course, it's always those simple concepts that seem to result in the most blatant violations with the worst consequences.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Gregg N. [read post]
29 May 2013, 5:08 am
Keep movin'For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Richard R. [read post]
15 Jul 2014, 3:31 am
Today's BrokeAndBroker.com Blog discusses one such foray.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Camille Smith submitted a Letter of Acceptance, Waiver and Consent (“A... [read post]
23 Oct 2014, 3:16 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, James Gregory Nixon submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Jan 2014, 10:26 am
In today's BrokeAndBroker Blog we see the lengths to which a stockbroker's ex went to jam him up; and, as if that bit of revenge weren't enough, there's also the lovely shot from FINRA that's a sour cherry on top.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any… [read post]
6 Aug 2014, 10:41 am
Unfortunately, in the end, what one entrepreneurial stockbroker brought in was a bit of unwelcome FINRA regulation.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, David Ray Taylor submitted a Letter of Acceptance, Waiver and Consent… [read post]
12 Feb 2018, 3:21 am
There are times when the Financial Industry Regulatory Authority's regulation of its Wall Street member firms looks a lot like someone reading toe-tags in the morgue. [read post]
14 Apr 2021, 8:00 am
But, okay, let's just stand back for a moment and offer a round of applause to encourage FINRA to do more of the same as demonstrated in a recent settlement involving loans from customers and outside business activities.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findi... [read post]
