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12 Jul 2018, 3:55 am
If the customers fail, the reps are forced to pursue FINRA's time consuming and expensive expungement process. [read post]
1 May 2018, 10:22 am
Even after you have digested the facts, you may be unsure whether FINRA is right or its member firm is right -- or maybe they're both wrong. [read post]
7 Mar 2017, 5:21 am
Given the oddity of FINRA's approach to regulating Wall Street, we're left with more questions than answers. [read post]
20 May 2013, 3:41 am
Browder submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
8 Feb 2017, 6:42 am
Come with me as we travel about seven years back in time and arrive at FINRA Department of Member Regulation, Complainant, v. [read post]
11 Jun 2013, 8:16 am
. (“FINRA”) (the successor to the National Association of Securities Dealers (“NASD”)) filed a Complaint with its Office of Hearing Officers charging that, in July 2006, John M.E. [read post]
25 Oct 2017, 9:31 am
Today's featured FINRA settlement involves yet another dispute about unauthorized discretion and the proper use of Time & Price discretion. [read post]
26 Oct 2016, 10:11 am
FINRA has fired a warning shot across the bow of in-house compliance staff who fail to pursue proactive compliance. [read post]
23 Aug 2017, 3:16 am
Yet again, we encounter some oddball moments in the wild and wacky world of FINRA arbitration. [read post]
8 May 2023, 4:47 am
In a recent FINRA customer arbitration, about the best that the Claimant could muster was that the hearing was fair but not satisfactory. [read post]
22 Dec 2015, 3:06 am
This is an update of "FINRA Named As Defendant In Case Alleging Altered Electronic Files" (BrokeAndBroker.com Blog, April 24, 2015) and "FINRA Moves To Dismiss Spoliation Claims" (BrokeAndBroker.com Blog, May 5, 2015).FINRA Named As Defendant In Case Alleging Altered Electronic FilesThe April 24, 2015, BrokeAndBroker.com Blog discussed a civil Complaint filed in the United States District Court for the District of… [read post]
20 Jan 2014, 4:11 am
A lot of public customers complain that FINRA member firms don't play fair when it comes to litigation and arbitration. [read post]
14 Jun 2019, 6:19 am
A personal note from Bill Singer, BrokeAndBroker.com Blog: The 2019 FINRA Board of Governors election is upon us. [read post]
29 May 2015, 6:05 am
What could have been another droll bit of regulation, however, winds up opening your eyes and making your jaw drop when you read through some of the examples of ETF investments cited by FINRA. [read post]
5 Aug 2015, 10:53 am
In practice, well, FINRA wasn't all that happy. [read post]
26 Apr 2019, 1:47 am
The proliferation of "website spoofing" has apparently spread into the FINRA member firm community, which prompted the publication of "Imposter Websites Impacting Member Firms" (FINRA Information Notice / April 29, 2019) http://www.finra.org/sites/default/files/notice_doc_file_ref/Information-Notice-042919.pdf As reported in part in FINRA's Information Notice:[A]n imposter website typically is designed to mimic a member firm’s actual… [read post]
20 May 2019, 9:11 am
FINRA barred Boggs indefinitely and in all capacities effective 4/15/2019. [read post]
4 Jan 2018, 9:46 am
The investment lawyers of Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Kenneth Savino (Savino). [read post]
4 Sep 2018, 2:22 pm
Consequently, FINRA imposed a $5,000 fine and 30 day suspension. [read post]
3 Nov 2020, 11:21 am
The Financial Industry Regulatory Authority (FINRA) has implemented a new rule– FINRA Rule 3241 — to limit brokers from holding positions of trust for clients, according to reports this week. [read post]
