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10 Sep 2021, 1:27 pm
Not there there's really anything amounting to a fair shuffle of the cards or a fair deal on the Street, but, hey, if it makes you feel better, we can all wink and nod knowingly.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, Tyler J. [read post]
5 Nov 2013, 4:25 am
In a recent FINRA settlement, the fact pattern is somewhat summed up by this refrain:Truckin, I'm a goin' home. whoa whoa baby, back where I belong,Back home, sit down and patch my bones, and get back truckin on.Hey now get back truckin' home.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,… [read post]
4 Nov 2016, 6:02 am
In the end, it's all really the customer's fault but that doesn't matter because we got rules, and those rule have to be followed.Case In Point 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, tradeMONSTER (n/k/a Aperture, LLC d/b/a… [read post]
14 Aug 2017, 3:50 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 t... [read post]
13 Nov 2020, 8:14 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 Patrick Beston submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
20 Nov 2013, 3:25 am
Consider this BrokeAndBroker Blog.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, Connie Louise Clarke submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
25 Mar 2015, 7:48 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,without an ... [read post]
2 Nov 2020, 8:07 am
Not exactly the lyrics for a catchy tune, but, let's see if we can work on it.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, Bradley Hildebrand, submitted a Lette... [read post]
19 Oct 2015, 6:05 am
Consider this recent FINRA 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 adjudi... [read post]
24 May 2017, 3:46 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]
26 May 2015, 2:14 am
In a recent regulatory settlement, we have the case of a aspirant to a career on Wall Street who needed just a little more support than the rules required -- sadly, that crutch cracked and the person leaning on it crashed to the ground.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 ... [read post]
14 Apr 2020, 7:04 am
The Financial Industry Regulatory Authority (FINRA) is the principal forum for these arbitrations. [read post]
15 May 2018, 5:21 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, A... [read post]
20 Jun 2016, 4:18 am
Read today's article and enjoy the three music videos.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 Myers submitted a ... [read post]
5 Apr 2017, 6:33 am
Case In Point 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, Nationwide Investment Services Corporation (“NISC”) and Nationwide Fund Distributors, LLC (“NF... [read post]
2 Aug 2016, 4:30 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, Christopher R. [read post]
18 Nov 2014, 9:45 am
It's not so much what's said by FINRA about this misconduct that has Bill Singer apoplectic (after all, it doesn't take that much to get Bill upset), it is what is not said by FINRA that underscores so much of the nonsense and silliness that has become Wall Street regulation.The Santiago AWCFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or… [read post]
15 Nov 2014, 4:11 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, Suzanne Ellen Meserve submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Jul 2014, 4:42 am
Read on.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, Moses G. [read post]
9 Aug 2021, 5:27 am
Someone hit the wrong button while online and agreed to do something that was never intended.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... [read post]
