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1 Jun 2021, 9:43 am
FINRA is currently investigating how Robinhood displays cash and buying power to customers and its options trading approval process. [read post]
1 Jun 2021, 8:43 am
On the same day, Securities and Exchange Commission (SEC) Chair Gary Gensler voiced similar views with respect to the financial industry, telling annual Financial Industry Regulatory Authority (FINRA) conference attendees that “the SEC and FINRA should be ready to bring cases involving issues such as crypto, cyber and fintech” while highlighting investor protection. [read post]
1 Jun 2021, 7:31 am
Our Energy 11 investment fraud attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are representing this retiree in her Financial Industry Regulatory Authority (FINRA) arbitration claim to pursue damages. [read post]
31 May 2021, 1:11 pm
Claims may be brought in securities arbitration before FINRA. [read post]
31 May 2021, 1:10 pm
Batstone was a respondent in a FINRA complaint. [read post]
31 May 2021, 7:38 am
Continue Reading › The post FINRA Suspends Ex-MML Investors Services Broker Adam Belardino appeared first on Investor Lawyers Blog. [read post]
31 May 2021, 7:16 am
Warren was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation into a gift that Mr. [read post]
30 May 2021, 1:44 am
Former broker Joseph Thurnherr (also known as Joseph Morris Thurnherr) has been sanctioned by FINRA in connection with alleged circumstances related to the bar against him, according to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), under review by attorney Alan Rosca. [read post]
30 May 2021, 1:44 am
Former broker Joseph Thurnherr (also known as Joseph Morris Thurnherr) has been sanctioned by FINRA in connection with alleged circumstances related to the bar against him, according to FINRA’s Letter of Acceptance, Waiver and Consent (AWC), under review by attorney Alan Rosca. [read post]
29 May 2021, 10:52 am
While the experience at AAA is much smoother than FINRA, there is a significant cost difference. [read post]
29 May 2021, 1:33 am
Contact us Michael Dellaporta Allegedly Refused to Produce Documents Requested by FINRA As alleged by FINRA’s AWC under review by attorney Alan Rosca, Michael Dellaporta has been barred from associating with any FINRA member in all capacities after allegedly failing to produce information and documents requested by FINRA. [read post]
29 May 2021, 1:33 am
Contact us Michael Dellaporta Allegedly Refused to Produce Documents Requested by FINRA As alleged by FINRA’s AWC under review by attorney Alan Rosca, Michael Dellaporta has been barred from associating with any FINRA member in all capacities after allegedly failing to produce information and documents requested by FINRA. [read post]
28 May 2021, 1:40 pm
What Is FINRA Rule 9554? [read post]
28 May 2021, 1:27 pm
According to FINRA Disciplinary actions for May 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
28 May 2021, 1:17 pm
According to FINRA Disciplinary actions for May 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ryan Callahan State Farm VP Management Corp. [read post]
28 May 2021, 12:19 pm
According to FINRA Disciplinary actions for April 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Tracy Adams Avantax Investment Services, Inc. [read post]
28 May 2021, 10:52 am
What Is FINRA Rule 9554? [read post]
28 May 2021, 10:12 am
According to FINRA Disciplinary actions for April 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
28 May 2021, 8:56 am
A recent FINRA regulatory settlement sanctioned a supervisor's alleged failure to "restrict" a trader's "market access. [read post]
28 May 2021, 8:56 am
FINRA Rule 2010 is applied in a disparate fashion against smaller member firms and the industry's associated persons in contrast to larger FINRA firms and powerful industry interests. [read post]
