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24 Nov 2015, 8:11 am
Instead of a meaningful conclusion to two settlements, FINRA sort of presents us with something akin to laughable hi-jinks in Bedrock City replete with a Yabba Dabba Doo send-off.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,… [read post]
19 Jun 2014, 7:46 am
Consider today's offering in the BrokeAndBroker.com Blog.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, Claus C. [read post]
11 Apr 2014, 4:26 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2013, Claimant Dabit sought expungement of a customer complaint filed in April 2008 from his Central Registration Depository record (“CRD”) and $50 in compensatory damages for his FINRA filing fees. [read post]
25 Sep 2017, 3:41 am
Among the BrokeAndBroker.com Blog's most frequently reported Financial Industry Regulatory Authority ("FINRA") issues is the finding that the failure to disclose a reportable event was "willful. [read post]
7 Oct 2013, 6:57 am
Today's BrokeAndBroker Blog pounds one more nail into that coffin of uncertainty.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, Philippe R. [read post]
6 Nov 2013, 5:37 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, Michael J. [read post]
4 Oct 2017, 11:08 am
FINRA Borrowing Settlement Involves Friendly 96 Year Old Customer http://www.brokeandbroker.com/3608/finra-borrowing-elderly/Most Wall Street registered reps didn't quite hear the bit after the "till death do you part" portion of their wedding vows where they were also asked if they took the Financial Industry Regulatory Authority as their lawfully wedded self-regulator. [read post]
1 Oct 2013, 7:30 am
Call those add-on charges to customers what you will, if it stinks like a commission, you may find yourself in hot water.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, Columbus Advisory Group, Ltd. [read post]
14 Aug 2017, 3:49 am
On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large firm Governor (500 or more registered representatives) for a three-year term. [read post]
23 Sep 2016, 5:56 am
In reading through the fact pattern of this case, you may be reminded of a moth getting too close to the flame.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 ... [read post]
9 Jul 2014, 9:54 am
All of which places us on the path to a FINRA expungement recommendation.Customer ComplaintIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, public customer Claimant Madris asserted causes of action including negligence and breaches of fiduciary duty and contract in connection with purchases of Lehman Brothers preferred stock. [read post]
17 Jun 2013, 10:44 am
Consider the ramifications to one Wall Street employee's career when the sender may not have been the customer.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, Jennifer Marie Burton submitted a Letter of Acceptance, Waiver and Consent… [read post]
12 Apr 2019, 5:19 am
Uh oh, this ain't gonna end well.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, Wilson-Davis & Co., Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FIN... [read post]
18 Aug 2014, 7:05 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, David Barthold, Marc Kalter, and David Wolk each subm... [read post]
22 Jul 2017, 9:28 am
On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large firm Governor (500 or more registered representatives) for a three-year term. [read post]
26 Aug 2015, 7:25 am
Consider this recent FINRA registration settlement.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 Katalyst Securities LLC sub... [read post]
12 Mar 2021, 11:31 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, Robert Benjamin Caiati ... [read post]
1 Apr 2014, 3:17 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, Wan Soo Kim submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Aug 2015, 3:32 am
Consider this recent FINRA expungement arbitration.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in N... [read post]
2 Jan 2015, 4:56 am
In this first such case of 2015, we find the old combo of liens and judgments, and, for good measure, an added dose of willfulness.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, Scott Cameron Nicol submitted a Letter of Acceptance,… [read post]
