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4 Aug 2021, 6:34 am
Robinhood, which had faced a number of regulatory setbacks this year including a record $70 million penalty from FINRA, felt the impact of that as its shares dropped in first-day trading. [read post]
3 Aug 2021, 10:11 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
3 Aug 2021, 8:52 am
FINRA is also reportedly proposing the adoption of FINRA Rule 9561 (Procedures for Regulating Activities) and amending FINRA Rule 9559 (Hearing Procedures for Expedited Proceedings Under the Rule 9550 Series) to create a new expedited proceeding to implement proposed Rule 4111, according to the SEC. [read post]
3 Aug 2021, 7:41 am
Benefit Street Partners Realty Trust Investors May Be Looking At More Losses If you are an investor whose broker unsuitably recommended Benefit Street Partners Realty Trust, you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover damages. [read post]
3 Aug 2021, 7:09 am
In addition, Joseph Ambrosole was reportedly sanctioned in 2016 by FINRA on allegations of failure to respond to FINRA for requested information. [read post]
3 Aug 2021, 7:09 am
In addition, Joseph Ambrosole was reportedly sanctioned in 2016 by FINRA on allegations of failure to respond to FINRA for requested information. [read post]
3 Aug 2021, 7:09 am
In addition, Joseph Ambrosole was reportedly sanctioned in 2016 by FINRA on allegations of failure to respond to FINRA for requested information. [read post]
3 Aug 2021, 6:29 am
A Stockbroker’s Responsibilities FINRA regulations prohibit a stockbroker from becoming heavily involved in a client’s trust or estate, and usually only if it involves a family member. [read post]
3 Aug 2021, 6:25 am
Broker Daniel Todd Levine Was Barred by FINRA in January 2019 According to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), Levine allegedly failed to provide FINRA with requested documents and information in connection with their investigation. [read post]
3 Aug 2021, 6:25 am
Broker Daniel Todd Levine Was Barred by FINRA in January 2019 According to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), Levine allegedly failed to provide FINRA with requested documents and information in connection with their investigation. [read post]
3 Aug 2021, 6:25 am
Broker Daniel Todd Levine Was Barred by FINRA in January 2019 According to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), Levine allegedly failed to provide FINRA with requested documents and information in connection with their investigation. [read post]
2 Aug 2021, 2:08 pm
Should you just need some help, FINRA offers the Securities Helpline for Seniors who want to ask questions about their accounts from an objective opinion. [read post]
2 Aug 2021, 1:49 pm
This means that FINRA broker dealers must comply with federal and state securities laws as well as securities regulations. [read post]
2 Aug 2021, 12:35 pm
Also, check FINRA’s website to confirm that your financial advisor is properly registered. [read post]
2 Aug 2021, 10:37 am
FINRA reportedly barred Vietor from associating with any FINRA member at any time. [read post]
2 Aug 2021, 9:39 am
Four of the customers were reportedly over the age of 60 and seven of the customers invested retirement funds in the BDC, according to FINRA. [read post]
2 Aug 2021, 7:41 am
Also, from 2018 to 2020, Todaro was a registered representative with Worden Capital Management, which last year was subject of a Financial Industry Regulatory Authority (FINRA) action related to the churning activities of its brokers. [read post]
1 Aug 2021, 10:04 am
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com Blog)Remarks Before the Aspen Security Forum by SEC Chair Gary GenslerCanadian Citizen Convicted for Pump-and-Dump Securities Fraud Scheme (DOJ Release)FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic (BrokeAndBroker.com Blog)At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com… [read post]
1 Aug 2021, 10:04 am
Notice of Annual Meeting of FINRA Firms and Election ProxyBill Singer Urges FINRA Small Firms to Vote for Paige W. [read post]
1 Aug 2021, 10:04 am
In contrast, consumer advocates and industry regulators often complain that FINRA's expungement process is a dangerous laundromat. [read post]
