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10 Jul 2014, 5:20 am
Today's BrokeAndBroker.com Blog discusses a case where it doesn't seem that one stockbroker fully understood the rules of the OBA game.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 an... [read post]
18 Sep 2013, 7:45 am
Here is yet another puzzling tale of a temptation not resisted.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, Steven Simmons submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Oct 2013, 4:18 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, Steven Lee Goldberg submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Dec 2013, 3:20 am
And then, on top of everything else, there are those dyspeptic regulators.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, Brian S. [read post]
11 Sep 2014, 4:27 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, Xiao Yun Yu submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Jul 2014, 2:58 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... [read post]
16 Jun 2014, 10:19 am
Keep movin'A (marking at the) Close CaseFor 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, Nicholas Harris Shermeta submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
22 Oct 2013, 10:39 am
On the other hand, FINRA may find such mass communications as little more than an opportunity to pull you over to the side, write you up for a host of infractions, and send you on your way much poorer if not much wiser.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… [read post]
17 Mar 2014, 6:25 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, David Eckess submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 Jan 2017, 6:02 am
Consider this recent FINRA regulatory settlement involving customer impersonations.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... [read post]
18 May 2016, 4:34 am
Except the business didn't exist.The odd thing -- the unsettling thing -- is not only does the stockbroker think that there is some mitigation to be presented on his behalf but, inexplicably, FINRA seems to share his belief.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… [read post]
18 Oct 2013, 10:55 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, Saxony Securities, Inc. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Apr 2014, 3:53 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, William Earl Boone, Jr. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which ... [read post]
24 Jun 2016, 4:04 am
Get On Board With New FINRA Rule 2273 Before You On-Board Registered Repsby Myles Blechner, Senior Consultant, NCS Regulatory ComplianceOn March 23, 2016, the Securities and Exchange Commission ("SEC") approved Financial Industry Regulatory Authority ("FINRA") FINRA Rule 2273: Educational Communication Related to Recruitment Practices and Account Transfers, which requires member firms who recruit Registered… [read post]
29 Jun 2015, 3:59 am
Consider this recent case where a firm agreed to enhance its protocol for notifying customers of wiring funds to third parties.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, Scottrade, Inc. [read post]
13 Jan 2015, 9:07 am
Consider this recent case in which one registered person failed to timely disclose his bankruptcy filing.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or den... [read post]
8 Sep 2020, 1:03 am
And FINRA imposed a fine and sent the rep to the penalty box.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, Patrick J. [read post]
18 Feb 2021, 5:14 am
Not by a long shot.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, Michael Nagy submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
3 Jun 2013, 10:11 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, Huel Cox, Jr. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
25 Nov 2014, 2:52 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 Johnson Whiting submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
