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9 Oct 2009, 4:00 am
FINRA rules currently require a firm that has previously not filed advertisements with FINRA to file its initial advertisement with FINRA at least 10 business days prior to use, and continue the practice for one year after the initial filing. [read post]
28 Sep 2017, 6:55 am
(FINRA Case #2016048456401) Larry Charles Wolfe (CRD #502361, Boca Raton, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Wolfe was fined $5,000 and suspended from association with any FINRA member in all capacities for 15 business days. [read post]
11 Jul 2017, 7:45 am
(FINRA Case #2016050259801) Legend Equities Corporation (CRD #30999, Palm Beach Gardens, Florida) submitted an AWC (Accept Waiver & Consent) in which the firm was censured and required to provide FINRA with a plan to remediate eligible customers who qualified for, but did not receive, the applicable mutual fund sales-charge waiver. [read post]
24 Jun 2013, 8:47 am
This change in policy was prompted by FINRA’s discovery last year that one of its arbitrators had been indicted for the uanuthorized practice of law. [read post]
13 Mar 2018, 11:32 am
According to FINRA, Mr. [read post]
3 May 2019, 5:56 am
According to FINRA, Booth’s spree occurred while he was registered with Invest Financial Corporation and then LPL Financial. [read post]
26 Mar 2015, 12:44 pm
FINRA offered its own insights into what it expects from firms’ cybersecurity risk management practices: [read post]
21 Sep 2023, 7:57 am
Why FINRA Rules Are Important to Investors FINRA’s rules on private securities transactions are in place to protect investors. [read post]
11 Aug 2021, 6:50 am
SEC Approves New FINRA Rule That Will Designate Some Brokerage Firms as “Restricted” The Financial Industry Regulatory Authority (FINRA) rule 4111, which will require certain brokerage firm members with histories of broker misconduct to put aside reserve funds to pay for both future and unpaid investor claims, has now been approved by the Securities and Exchange Commission (SEC). [read post]
19 Apr 2014, 6:02 am
From their job posting - FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY. [read post]
30 May 2010, 8:23 am
As reported May 28 by Investment News, FINRA is paying close attention to non-traded REITs and, in particular, the ways in which broker/dealers marketed and sold the products to investors. [read post]
6 Feb 2019, 1:34 pm
After an investigation, FINRA suspended White on 8/10/2018 for four months, effective 8/20/2018. [read post]
11 Oct 2017, 3:55 pm
The due diligence rule stems from FINRA Rule 2310 the so-called suitability rule, which requires that a brokerage firm must have reasonable grounds to believe that a recommendation to purchase a security is suitable for the customer. [read post]
23 Jul 2016, 4:07 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
26 Sep 2017, 6:32 am
According to FINRA, this raises questions about how suitable the move is for the investor. [read post]
9 Mar 2018, 6:44 am
The FINRA panel awarded Mr. [read post]
25 Sep 2015, 6:36 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (FINRA AWC No. 2013039506601) broker Gregory Gassoso (Gassoso) on allegations that in April 2013, Gassoso effected three unauthorized transactions in a customer’s account, resulting in a loss of approximately $1,500. [read post]
7 Aug 2017, 8:45 am
For FINRA’s full findings see FINRA Case #2014042190802. [read post]
10 Feb 2020, 9:22 am
If it can be determined that Sagepoint violated FINRA rules, it can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
4 Aug 2017, 7:59 am
For FINRA’s full findings see FINRA Case #2015044225801. [read post]
