Search for: "Financial Industry Regulatory Authority"
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3 Jun 2015, 9:52 am
Of course, there are two more sayings that seem to come into play here:No good deed goes unpunished; andThe road to Hell is paved with good deedsCase In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting ... [read post]
5 Jan 2017, 10:14 am
The point of concern, however, is not with the 99% who are likely guilty but with the 1% who are not.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 finding... [read post]
5 Jul 2017, 6:45 am
These and other fascinating questions will be answered in today's 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, Jiaoni Zhu submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which … [read post]
27 Jun 2020, 2:54 am
Ahhh . . . that's today's puzzle.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admi... [read post]
19 Dec 2013, 2:22 am
Customer disputes and litigation have an after life, as today's BrokeAndBroker blog explains.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, Mark Hepwo... [read post]
15 Aug 2014, 10:53 am
I promise that there is something in here about a debit card, toking, and Lawrence Welk.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, Pedro Castaneda submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA… [read post]
19 Jun 2014, 8:56 am
Consider today's 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, Dudley Franklin Stephens submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Apr 2016, 4:51 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, Jeffrey C. [read post]
16 Jul 2018, 8:22 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, Mitchell Toby Yanow submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
21 Feb 2017, 2:03 am
If you're going through only the motions of looking, then everything is a silly game and nothing worth looking for gets found.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... [read post]
25 Oct 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 a... [read post]
6 Mar 2020, 1:30 am
Read today's blog for the answers.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, William Blake McGowan submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
23 Mar 2018, 8:42 am
In its self-regulatory-organization capacity, the Financial Industry Regulatory Authority is nothing but meticulous about insisting that its member firms and their associated persons follow its rules. [read post]
10 Sep 2013, 8:42 am
Here is the case of one broker who managed to rack up far too many FINRA violations; notwithstanding, it is an impressive game to watch unfold.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, Marcos Leiva submitted a Letter of Acceptance, Waiver and… [read post]
15 Jun 2017, 6:31 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, James Flower submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
12 Feb 2021, 11:24 am
Thankfully, something did.Feng AWCFor 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, Jenny Xinfang Feng submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
19 Sep 2014, 5:09 am
Consider this recent arbitration dispute brought by an employee who was apparently given misinformation about the settlement of shares involved in a reverse split.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2014, registered representative Claimant Palacios, pr... [read post]
17 Dec 2017, 9:59 am
The one constant throughout this metaphysical setting is that the Financial Industry Regulatory Authority stands ready to impose fines. [read post]
6 Jun 2015, 6:27 am
FINRA certainly called out his name and came running with a fine and suspension.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 J. [read post]
16 Dec 2013, 8:15 am
Now it's all in the past but you're still left with a mess of a career.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, Gary J. [read post]
