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30 Nov 2017, 7:31 am
(FINRA Case #2013037843201) David John Lomedico (CRD #1531676, Huntington, New York) – An AWC (Accept, Wavier & Consent) was issued in which Lomedico was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for four months. [read post]
13 Feb 2012, 12:25 pm
A Second Circuit panel has enjoined a hedge fund from proceeding with its FINRA arbitration against a registered broker-dealer and FINRA member with respect to a credit default swap agreement because the hedge fund was not a customer of the broker-dealer within the meaning of the FINRA Code. [read post]
17 Nov 2011, 8:06 am
To improve the situation, FINRA outlined the rules and sound practices in the notice and encouraged its members to follow them. [read post]
17 Nov 2011, 8:06 am
To improve the situation, FINRA outlined the rules and sound practices in the notice and encouraged its members to follow them. [read post]
7 Jan 2015, 6:41 am
Next, FINRA found a total of at least 50 instances where the firm failed to execute orders fully and promptly. [read post]
30 Sep 2022, 6:47 am
As a result, FINRA then barred Seijas from association with any FINRA broker-dealer in all capacities, effective immediately. [read post]
1 Nov 2017, 10:21 am
FINRA is a non-government organization. [read post]
14 Dec 2010, 2:33 pm
(Investment News.)Prior post: Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds. [read post]
25 Apr 2013, 8:19 am
The following is a brief breakdown of the FINRA Eligibility Rule and caselaw applicable to its application: FINRA Rule 12206 reads as follows: “12206. [read post]
11 May 2018, 8:08 am
(FINRA Case #2018057246701) Jimmy Oswald Moscoso (CRD #2912265, Boca Raton, Florida) – An AWC (Accept,Waiver & Consent) was issued in which Moscoso was barred from association with any FINRA member in all capacities. [read post]
13 Oct 2017, 9:25 am
FINRA’s allegations against Mercury Securities concerned the firm’s authorization of private securities transactions made by three of its brokers. [read post]
30 Dec 2010, 6:42 am
On December 15, 2010, FINRA rule 3270 became effective. [read post]
28 Dec 2020, 8:13 am
FINRA has suspended financial advisor Jamie I. [read post]
19 Sep 2011, 2:33 pm
In settling this matter, UBS neither admitted nor denied the charges, but consented to the entry of FINRA's findings. [read post]
11 Aug 2021, 2:21 pm
Continue reading The post FINRA Arbitration Award: San Francisco Financial Advisor Amy Blodgett and Firm Ameritas Advisory Services Ordered to Pay $20,000 to Customers appeared first on Securities Arbitration Lawyer Blog. [read post]
7 Jul 2012, 1:34 pm
FINRA's new Know-Your-Customer (Rule 2090) and Suitability (Rule 2111) Rules go into effect on July 9. [read post]
27 Apr 2023, 12:35 pm
FINRA Letter of Acceptance, Waiver, and Consent No. 2021071850601, 2 (2021). [read post]
10 Aug 2017, 9:32 am
For FINRA’s full findings see FINRA case #2016048719203. [read post]
1 Sep 2015, 7:35 am
FINRA found this conduct violated industry rules. [read post]
2 Oct 2013, 3:45 pm
According to the FINRA complaint, the alleged misconduct occurred beginning in or around January 2010 to present. [read post]
