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8 Jun 2021, 7:59 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
7 Jun 2021, 12:24 pm
They must ensure they are complying with FINRA rules. [read post]
7 Jun 2021, 8:33 am
For this violation, Demetriou is reportedly barred and ordered to pay restitution of $337,700, according to FINRA. [read post]
7 Jun 2021, 8:26 am
Broker-dealers are regulated by and required to be registered with the Financial Industry Regulatory Authority (FINRA). [read post]
4 Jun 2021, 3:03 pm
Read more The post Pasieczny Appointed to FINRA’s National Arbitration and Mediation Committee appeared first on Samuels Yoelin Kantor LLP. [read post]
4 Jun 2021, 2:04 pm
I'm guessing that the settlement offer made by FINRA Staff was much higher than what the FINRA OHO Panel imposed. [read post]
4 Jun 2021, 2:04 pm
The TD Ameritrade Stockbroker and The Customer Were Friends Until Options Trading Came Between Them (BrokeAndBroker.com Blog)FINRA Alerts Firms to Phishing Email Using "gateway-finra.org" Domain Name (FINRA Regulatory Notice)SEC Charges Portfolio Manager with Using Forged Document to Offer Securities to Investor (SEC Release)SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data (SEC Release)SEC Charges Florida Real Estate Companies and Executive with… [read post]
4 Jun 2021, 2:04 pm
2Cir Affirms FINRA Arbitration Award to Jefferies of $1 Million Liquidated Damages For Aborted Employment (BrokeAndBroker.com Blog)Indiana Woman Convicted Of Conspiracy To Commit Mail Fraud, Wire Fraud, And Money Laundering In Advance-Fee Fraud Scheme Targeting Deaf And Elderly (DOJ Release)Latvian National Charged for Alleged Role in Transnational Cybercrime Organization (DOJ Release)... [read post]
4 Jun 2021, 2:04 pm
I'm guessing that the settlement offer made by FINRA Staff was much higher than what the FINRA OHO Panel imposed. [read post]
4 Jun 2021, 2:04 pm
FINRA Fines and Suspends LPL Rep For Paying Commissions to an Unregistered Person (BrokeAndBroker.com Blog)Michigan Man Admits Defrauding Business Opportunity Buyers of More Than $5 Million (DOJ Release)Burlington County Man Sentenced to 65 Months in Prison for Defrauding Investors of Over $1.5 Million (DOJ Release) ... [read post]
4 Jun 2021, 10:22 am
Former Vancouver, Washington Financial Adviser Has 21 Disclosures On Record Jeffrey Raymond Dixson, an ex-Madison Avenue Securities investment advisor and stockbroker, is the subject of at least 10 Financial Industry Regulatory Authority (FINRA) arbitration claims in which the customers are seeking damages for their GPB private placement losses. [read post]
4 Jun 2021, 7:31 am
FINRA Letter of Acceptance, Waiver, and Consent No. 2020066651001 Continue reading The post Former Park Avenue Securities Broker Nick Palumbo, BARRED by FINRA appeared first on Securities Arbitration Lawyer Blog. [read post]
3 Jun 2021, 4:09 pm
In a rare turn of events, FINRA has withdrawn its rule proposal for making reforms to the expungement process. [read post]
3 Jun 2021, 1:04 pm
Financial Industry Regulatory Authority (“FINRA”) Office of Hearing Officers has barred stockbroker James W. [read post]
3 Jun 2021, 6:33 am
Regulators like FINRA have warned about non-traded REITs for more than a decade. [read post]
3 Jun 2021, 6:20 am
Firms that do not perform adequate due diligences on an investment or demonstrate a breach of fiduciary duty can be held accountable for losses incurred through FINRA arbitration. [read post]
2 Jun 2021, 11:30 am
Continue reading The post Investor Alert: FINRA Files Enforcement Action Against Broker-Dealer NYPPEX, LLC, and Two Executives Alleging They Made Material Misrepresentations And Omissions to Prospective Investors of NYPPEX Holdings appeared first on Securities Arbitration Lawyer Blog. [read post]
2 Jun 2021, 7:05 am
Filing a Complaint against your Brokerage Firm The White Law Group is investigating FINRA arbitration cases involving James Couture and the liability his employers may have for failure to properly supervise him. [read post]
2 Jun 2021, 5:56 am
Broten’s FINRA BrokerCheck report is accessible here. [read post]
2 Jun 2021, 5:44 am
According to his FINRA BrokerCheck Report, Couture was registered as a licensed securities broker and advisor through LPL Financial from February 2009 through July 2020 out of offices in Worcester and Springfield, Massachusetts. [read post]
