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11 Jun 2021, 5:47 am
FINRA Censures and Fines Citigroup Global Markets Inc. for Failed Supervisory System (BrokeAndBroker.com Blog)CFTC Charges Former Energy Broker and Its Owner with Misappropriation of Nonpublic Information, Fraud, and Supervision Violations (CFTC Release)Las Vegas Woman Pleads Guilty To $10 Million Tech Support Fraud Scheme That Exploited The Elderly / Technical Support Scheme Deceived More Than 7,500 Victims Across the United States and Canada, Many of Whom Are Elderly, into Paying… [read post]
11 Jun 2021, 5:47 am
If You Hadn't Told FINRA But Did. [read post]
11 Jun 2021, 5:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5903/securities-industry-commentator/GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze (SEC Release)Finra Sanctions Ex-LPL Broker Over 'Outside' Notary Biz (Advisor Hub by Miriam Rozen)FINRA Fines and... [read post]
10 Jun 2021, 8:14 am
Connors has a history of customer disputes and a past association with a disreputable brokerage firm that has been expelled by FINRA. [read post]
10 Jun 2021, 7:40 am
Murray has a history of customer disputes and associations with disreputable brokerage firms that have been expelled by FINRA. [read post]
10 Jun 2021, 2:10 am
Call Attorneys Knowledgeable in Form U5 and FINRA in Massachusetts We can help you work with your employer to complete your Form U5 and navigate other FINRA related-matters. [read post]
9 Jun 2021, 2:28 pm
Scam artists “aren’t just asking for usernames and log-ins, but are taking a more aggressive approach,” said Bob Colby, FINRA’s chief legal officer. [read post]
9 Jun 2021, 9:11 am
(“Sila”), a publicly registered, non-traded real estate investment trust (formerly known as Carter Validus Mission Critical REIT II) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
9 Jun 2021, 8:58 am
On June 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Titan Securities entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) whereby Titan Securities consented to a censure and $20,000 fine. [read post]
9 Jun 2021, 8:04 am
On June 2, 2021, FINRA’s National Adjudicatory Council modified a FINRA’s Office of Hearing Officers decision from 2019 that was filed by FINRA’s Department of Enforcement against Titan Securities, Brad Brooks, and broker Richard Demetriou. [read post]
8 Jun 2021, 1:59 pm
FINRA has barred former Wavecrest Securities, LLC and Pickwick Capital Partners, LLC broker Louis Kreisberg from the securities industry for failing to cooperate with a FINRA investigation. [read post]
8 Jun 2021, 1:45 pm
” FINRA also fined Mr. [read post]
8 Jun 2021, 1:13 pm
Broker Grant Birkley BARRED by FINRA – Barrington, Illinois appeared first on Securities Arbitration Lawyer Blog. [read post]
8 Jun 2021, 12:56 pm
Broker Cynthia Komarek BARRED by FINRA – Barrington, Illinois appeared first on Securities Arbitration Lawyer Blog. [read post]
8 Jun 2021, 11:57 am
Continue reading The post Cadaret Grant Broker Matthew Zanowiak Suspended by FINRA – Lancaster, Pennsylvania appeared first on Securities Arbitration Lawyer Blog. [read post]
8 Jun 2021, 11:52 am
FINRA has barred former Wells Fargo broker Mario Rivero, Jr. from the securities industry for failing to cooperate with a FINRA investigation into allegations made by two former customers. [read post]
8 Jun 2021, 11:07 am
They must ensure they are complying with FINRA rules. [read post]
8 Jun 2021, 10:21 am
According to FINRA, during January 2018 through May 2019, Lucchetto excessively and unsuitably traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [read post]
8 Jun 2021, 9:46 am
A more complete summary of the history of the FINRA expungement process and the rule proposals are described on a new FINRA webpage dedicated to expungement issues. [read post]
8 Jun 2021, 9:21 am
They must ensure they are complying with FINRA rules. [read post]
