Search for: "Financial Industry Regulatory Authority"
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24 Sep 2014, 9:13 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... [read post]
16 Aug 2015, 4:49 am
In today's BrokeAndBroker.com Blog, veteran Wall Street regulatory attorney Bill Singer explores the world of hurt that can occur should you refuse to provide information or testimony to the Financial Industry Regulatory Authority ("FINRA"). [read post]
31 Aug 2014, 3:06 am
In a recent case, FINRA alleges that far too many red flags went undetected.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, Edwin Quinones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
20 Jan 2015, 5:37 am
Consider the recent disciplinary settlement involving a CPA and registered person.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, Elliot H. [read post]
19 Sep 2013, 8:22 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, PNC Investments LLC submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Aug 2017, 12:37 pm
The other day, the Financial Industry Regulatory Authority posted an arbitration decision. [read post]
10 Jul 2013, 3:49 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, George Bussanich submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
11 Feb 2016, 4:56 am
On Wall Street, however, you got Oral Discretion, which, as you will soon discover, isn't worth the paper it's not written 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, Michael J. [read post]
30 Mar 2014, 10:29 am
As with most good stories, this one combines aspects of the tragic with comic when the registered person attempts to impersonate his customer during a telephone call to another brokerage firm.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, Brandon L. [read post]
1 Aug 2014, 9:08 am
", then you may also have to deal with a persnickety regulator.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 E. [read post]
12 Jul 2019, 3:42 am
Making matters worse, one enterprising rep also downloaded customer info onto a portable hard drive.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, Van Allen, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which… [read post]
21 Mar 2016, 11:21 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, Edwin Pereira de Andrade submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
7 Oct 2013, 5:26 am
This is a true story about modern-day reality.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 adjudicatio... [read post]
10 Aug 2018, 2:39 am
In response to the March 21, 2017, Financial Industry Regulatory Authority ("FINRA") "Special Notice: Engagement Initiative / FINRA Requests Comment on Potential Enhancement to Certain Engagement Programs / Comment Period Expires May 5, 2017," BrokeAndBroker.com Blog publisher Bill Singer submitted a comment on May 30, 2017. [read post]
5 Aug 2015, 10:53 am
See what went down.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 wi... [read post]
19 Jul 2017, 9:11 am
On August 22, 2017, the Financial Industry Regulatory Authority ("FINRA") will conduct its annual meeting, at which time the self-regulatory organization will elect one small firm Governor (up to 150 registered representatives) and one large firm Governor (500 or more registered representatives) for a three-year term. [read post]
6 Jun 2014, 4:38 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, Clifford Frank Staley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Jan 2016, 7:01 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, Robert Richards Jr. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
18 Sep 2013, 7:17 am
This is an update of “Former Wells Fargo Broker Rips Off Elderly Widow” (BrokeAndBroker.com, March 12, 2013)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, Adorean Boleancu submitted a Letter of Acceptance, Waiver and Consent (“AWC”),… [read post]
14 Nov 2017, 12:46 pm
A recent Financial Industry Regulatory Authority regulatory settlement chall... [read post]
