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13 Jan 2018, 1:21 pm
Turner entered into an acceptance waiver and consent agreement with FINRA in which he neither admitted nor denied the findings, but was barred from FINRA and fined over $270,000 In June 2017, Tracy Turner agreed to the suspension, and FINRA published its findings that Turner sold over $4 million in investments in saltwater disposal wells. [read post]
27 Jun 2016, 1:43 pm
Per FINRA, Mr. [read post]
7 Jun 2017, 2:35 pm
” For FINRA’s full findings see FINRA Case number 2014039839101. [read post]
20 Mar 2015, 6:05 am
Earlier this week, FINRA launched its redesigned website FINRA.org. [read post]
1 Jul 2015, 12:34 pm
A copy of the FINRA AWC is available here. [read post]
28 Jan 2019, 11:09 am
Excellent commentary from our colleague Alan Wolper regarding the curious relationship between FINRA and PIABA.https://www.bdlawcorner.com/2019/01/the-disturbingly-cozy-relationship-between-finra-and-piaba/ [read post]
7 Oct 2021, 2:05 pm
FINRA staff offered rescheduling of both videoconference hearings. [read post]
15 Apr 2022, 8:09 am
On legitimate brokers and companies through FINRA’s BrokerCheck tool. [read post]
20 Jul 2021, 6:43 am
Sanctioned by FINRA for Failing to Properly Supervise Solicited Transactions for Excessive Trading appeared first on Securities Arbitration Lawyer Blog. [read post]
14 Jul 2008, 7:36 pm
In Regulatory Notice 08-36, FINRA announced that the SEC has approved amendments to NASD Rule 2440 and interpretive memo IM-2440-1. [read post]
9 Jun 2023, 6:57 pm
The post Investment Adviser Brings Fight Against FINRA to Appeals Court appeared first on Stoltmann Law. [read post]
19 Jun 2023, 10:24 am
The post FINRA steps up Reg BI enforcement with excessive trading case appeared first on Stoltmann Law. [read post]
19 Jun 2023, 8:38 am
The post Finra Remote Supervision Proposals Headed Back to the Drawing Board: Cook appeared first on Stoltmann Law. [read post]
28 Jan 2010, 7:44 pm
On January 28, 2010, FINRA Education Foundation announced grants to create law school clinics at Florida International University, Howard University, Pepperdine University, and Suffolk University to provide legal assistance to “underserved investors involved in securities disputes. [read post]
31 May 2011, 6:26 am
The Financial Industry Regulatory Authority has hit Credit Suisse Securities LLC with a $4.5 million fine and Merrill Lynch with a $3 million fine for not properly representing data and supervising the residential subprime mortgage securitizations they sold.The fines, which were announced by independent regulator FINRA on Thursday, were for improper handling that took place at the firms in 2006 [read post]
16 Feb 2024, 6:29 am
The post mCloud Investors Should Evaluate FINRA Claims to Recover Investment Losses appeared first on Stoltmann Law. [read post]
21 Nov 2011, 12:18 pm
FINRA Rule 4360 becomes effective January 1, 2012, and replaces NASD Rule 3020 dealing with Fidelity Bonds for broker-dealers. [read post]
10 May 2022, 10:49 am
Broker Kevin Mark Nevin, a previously registered broker and investment advisor, has been barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or other associating with any broker-dealer firm. [read post]
10 Jun 2023, 5:01 pm
The post Finra fines small B-D after years of net capital problems appeared first on Stoltmann Law. [read post]
17 Jun 2023, 12:31 am
The post Finra spanks Morgan Stanley over sales of high-risk stocks appeared first on Stoltmann Law. [read post]
