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5 Feb 2013, 12:07 pm
Too many questions remain in this FINRA arbitration... [read post]
26 Jan 2021, 6:47 am
According to FINRA, Goldman obtained the second individual’s fingerprints in May 2019 and he became associated with the Firm in June 2019, but the firm didn’t submit this individual’s fingerprints to FINRA for processing until August 2019, when it was notified by FINRA that the individual had a 2012 felony conviction on his record. [read post]
19 Dec 2017, 10:43 am
However, FINRA says Merrill failed to implement any remedial measures until mid-2014. [read post]
12 Feb 2015, 5:40 am
” FINRA Rule 8210 authorizes the regulator to require persons associated with a FINRA member to provide information with respect to any matter involved in the investigation. [read post]
24 Mar 2015, 6:12 am
” FINRA Rule 8210 authorizes FINRA to require persons associated with a FINRA member to provide information with respect to any matter involved in the investigation. [read post]
19 Feb 2021, 11:25 am
” The AWC indicates that Delahunt failed to respond to FINRA’s inquiry, in violation of FINRA Rules. [read post]
28 Dec 2018, 1:12 pm
Silver Law Group represented the Claimant in a FINRA arbitration claim against Texas E&P Partner, Inc. and Mark Plummer. [read post]
29 Jan 2017, 12:40 pm
FINRA Broker Disciplinary Action Report January 2016Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
2 Jun 2011, 8:40 am
At all times relevant to the Complaint,DLA was a member of FINRA and remains subject to the jurisdiction of FINRA underArticle IV, Section 1 of FINRA’s By-Laws.FACTSThe Apple REITs5. [read post]
7 Feb 2019, 9:46 am
Finra also accused Dembla of submitting false entries for why customers were seeking to sell the funds. [read post]
28 Jul 2020, 7:57 am
The post Silver Law Group Files FINRA Arbitration Claim Against Madison Avenue Securities Based On GPB Investment appeared first on Securities Arbitration Lawyers Blog. [read post]
15 Oct 2020, 10:55 am
The post FINRA may Tighten Senior Exploitation Rule appeared first on The White Law Group. [read post]
23 Sep 2016, 8:48 am
(FINRA Rule 3110 Supervision). [read post]
19 Jun 2009, 7:39 am
"Interesting comment from a long term FINRA insider and the now-CEO of one of the requlators who let that fraud go on under their noses for decades.Does Mr. [read post]
17 Oct 2014, 7:45 am
For FINRA’s full findings, see FINRA Case #2013037552501. [read post]
4 Oct 2013, 5:18 am
In Regulatory Notice 13-31, FINRA gave guidance regarding its approach and expectations when it conducts a suitability examination. [read post]
2 Nov 2016, 4:49 am
FINRA Seeks SEC Approval of Rules to Deter Financial Exploitation of Seniors [read post]
27 Jan 2016, 7:38 am
FINRA also proposed a new rule providing for notice to FINRA of its broker-dealer members’ engagement in transactions and other relationships with funding portals. [read post]
12 Jul 2018, 10:07 am
(FINRA Case #2015045984001) Mark Kaplan (CRD #1978048, Merrick, New York) – An AWC (Accept, Waiver & Consent) was issued in which Kaplan was barred from association with any FINRA member in all capacities. [read post]
31 Dec 2008, 5:17 am
A FINRA arbitrator makes $400.00 per day. [read post]
