Search for: "Financial Industry Regulatory Authority"
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17 Oct 2016, 2:06 am
Today's BrokeAndBroker.com Blog presents a Financial Industry Regulatory Authority settlement in which the respondent's conduct was wrong. [read post]
1 Sep 2017, 9:31 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, ... [read post]
7 Mar 2017, 5:21 am
Case In Point: Echeverria 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 without an adjudication of any issue, Luis Echeverria submitted a Letter of Acceptance, Waiver and Consent ("... [read post]
19 Feb 2014, 8:16 am
Sorry, you're gonna have to pop the cork and taste for yourself.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 a... [read post]
6 May 2016, 4:16 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, Matthew John Brock submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
18 Oct 2018, 5:37 am
The other question is whether the delay was more than an inconvenience and, perhaps, crossed over the line into a regulatory violation or worse.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2018, public customer Claimant Marsha M. [read post]
22 Apr 2015, 6:35 am
For FINRA, it was a violation.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 Stephen Kinnear submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Jul 2013, 3:47 am
Consider this recent FINRA case as just another example of the challenging nature of modern-day morality.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, John Rom submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA… [read post]
30 Dec 2013, 1:45 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, Jason Goldstein submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
4 Apr 2014, 4:33 am
In today's BrokeAndBroker.com Blog, we encounter a two-time loser with a somewhat creative approach to turning lemons into lemonade.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, John Charles Tib... [read post]
25 Apr 2014, 2:26 am
It's that last ingredient that sort of messes this all up.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, David Diehl, submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Sep 2013, 6:27 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, Gregory Louis Zerillo submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Jan 2014, 2:54 am
If that doesn't whet your appetite, I'm not sure what a teaser is.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, Michelle Lee Kern submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
1 May 2015, 5:35 am
Unfortunately the victim, in turn, sort of victimizes her employer and, well, in the end, it all ends very badly with a lot of pain.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, Lisa Suzanne Dutcher submitted a Letter of Acceptance, Waiver… [read post]
17 Jun 2020, 12:58 pm
FINRA, the Financial Industry Regulatory Authority, issued an eye-catching warning in Regulatory Notice 20-14 about a particularly complex and risky type of security: Oil and Gas Exchange Traded Products, or ETPs. [read post]
1 Feb 2016, 2:21 am
Attendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are permitted to attach to the formal AWC settlement agreement a Corrective Action Statement to demonstrate the steps taken by a respondent to prevent future misconduct subject to the understanding that such an attachment may not deny the charges or make… [read post]
1 Oct 2013, 3:25 am
For starters, there was this roadwork involving a change-of-address request and an unseen detour.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, Jeffrey Brian Mackevich submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA… [read post]
6 Nov 2017, 4:48 am
On the other hand, when you read the fact pattern, you'll see that there are some nuances to this particular matter that may dispel some of your first impressions.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, Cecil B. [read post]
25 Jan 2016, 2:16 am
The fourth mistake . . . well, to be cynical, that would be when the stockbroker got caught.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, Marco Antonio Daniel A/K/A Tony Daniel submitted a Letter of Acceptance, Waiver and Consent… [read post]
18 Aug 2016, 11:10 am
In the case of the Financial Industry Regulatory Authority (“FINRA”), a so-called self-regulatory organization (“SRO”), you got lots of rules. [read post]
