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26 Jul 2009, 8:23 am
On July 23, 2009, FINRA announced that it had fined five bank broker-dealers a total of $1.65 million for deficient supervision and procedures. [read post]
20 Sep 2021, 9:10 am
The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and the Financial Industry Regulatory Authority (FINRA) today announced the opening of…Read the Full Press ReleaseHave a securities law question? [read post]
20 Jun 2023, 3:26 am
The post Finra Sidelines Long Island Broker Over Inaccurate Customer Contact Notes appeared first on Stoltmann Law. [read post]
11 Jun 2023, 5:59 am
The post Finra smacks Advisor Group with $1.3M penalty over GPB sales appeared first on Stoltmann Law. [read post]
21 Jun 2018, 12:16 pm
(CRD #13755) of Port Washington, NY Continue reading The post FINRA Examines Claim Against Aegis Broker James Mariani For Negligence appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Aug 2009, 6:35 pm
On August 18, 2009, the SEC staff and FINRA jointly issued an Alert regarding the confusion investors may have about the performance objectives of leveraged and inverse exchange-traded funds (”ETFs”). [read post]
16 Nov 2016, 8:33 am
FINRA Fines ProEquities This brings us back to FINRA’s sanctioning of ProEquities. [read post]
16 Nov 2016, 8:33 am
FINRA Fines ProEquities This brings us back to FINRA’s sanctioning of ProEquities. [read post]
30 Oct 2009, 12:56 am
FINRA says that by failing to meet this requirement, Scottrade violated the Bank Secrecy Act and FINRA rules. [read post]
20 Nov 2015, 6:58 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Tracy Wengert (Wengert) (FINRA No. 2015044289201) resulting in a bar from the securities industry alleging that Wengert failed to provide FINRA staff with information and documents requested. [read post]
16 Feb 2016, 11:38 am
The FINRA complaint also alleges that Mr. [read post]
11 Dec 2007, 11:45 am
FINRA officials will oversee this new test. [read post]
4 Jun 2014, 5:41 am
As such, according to FINRA, Werbel violated FINRA Rule 2010. [read post]
26 Apr 2012, 8:25 pm
Finra alleged that Mr. [read post]
24 Oct 2022, 3:44 am
FINRA's regulatory settlement with the NRF is now posted on FINRA's public database for all to see. [read post]
22 Feb 2022, 9:02 am
(CRD#:15007), Holmdel, NJ, and Obsidian Financial Group, LLC (CRD#:104255, expelled by FINRA on 10/16/2013) of Red Bank, NJ. [read post]
25 Feb 2009, 6:45 am
(FINRA Case No. 200700733001).In another case, AXA Advisors, LLC was censured and fined $350,000 (FINRA Case No. [read post]
10 Mar 2017, 8:48 am
Senate Democrats pushing for FINRA reform. [read post]
24 May 2021, 1:21 pm
Continue reading The post Pinehurst, North Carolina Broker, Mercer Hicks III, Barred by FINRA for Making Unsuitable Recommendations to Five Senior Customers appeared first on Securities Arbitration Lawyer Blog. [read post]
21 May 2018, 4:49 am
It's gotta be FINRA's favorite mistake and quite the money maker! [read post]
