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10 Nov 2023, 8:25 am
FINRA Investigations FINRA operates the largest securities dispute resolution forum in the United States, but that’s not all FINRA does. [read post]
10 Nov 2023, 7:44 am
FINRA Bars Advisor Robert Marquez, Investment Network According to public records, FINRA has reportedly barred financial advisor Robert Marquez (CRD#: 2266269) from the securities industry. [read post]
10 Nov 2023, 7:29 am
In it, Terzis agreed to FINRA’s sanctions of being permanently barred from any association with FINRA members, effective 12/23/2022. [read post]
10 Nov 2023, 7:01 am
Matson indicated through both phone calls with FINRA and an email exchange that he would not be providing any of the requested information, in violation of FINRA’s rules. [read post]
9 Nov 2023, 9:01 pm
” If a person is a dealer, then that person must register with the SEC as a dealer and become a member of a self-regulatory organization like FINRA unless an exception otherwise applies. [read post]
9 Nov 2023, 6:29 am
Previously, Wurdemann failed to respond to a request for information from FINRA for an investigation. [read post]
8 Nov 2023, 10:14 pm
FINRA Rule 2111: Suitability FINRA Rule 2111 is a regulation established by the Financial Industry Regulatory Authority (FINRA), which governs the suitability of recommendations made by broker-dealers to their clients. [read post]
8 Nov 2023, 2:00 pm
Hobbs responded with incorrect information, in violation of FINRA Rules 8210 and 2010. [read post]
8 Nov 2023, 9:24 am
FINRA Sanctions Robert W. [read post]
8 Nov 2023, 6:12 am
A Boston, Massachusetts FINRA arbitration panel ruled in the investors’ favor, awarding them more than $280,000 in damages and interest. [read post]
8 Nov 2023, 5:46 am
Center Street Securities: FINRA Claim Alleges Unsuitable Investments The White Law Group announces the filing of a FINRA arbitration claim against Center Street Securities for investment losses involving high risk alternative investments. [read post]
7 Nov 2023, 1:29 pm
On 4/25/2023, FINRA suspended Todd for non-payment of the arbitration settlement award. [read post]
7 Nov 2023, 8:37 am
Similar to violating other FINRA rules, the action of abusing this rule can result in regulatory actions, fines, suspensions, or other penalties imposed by FINRA. [read post]
7 Nov 2023, 7:56 am
This rule categorizes broker activity as fraudulent if they take advantage of their discretionary power in a client’s account FINRA (Financial Industry Regulatory Authority) Rule 2111. [read post]
7 Nov 2023, 7:28 am
Our lawyers won more than $1 million for an elderly client scammed by a stockbroker in a FINRA arbitration claim award believed to be one of the first successful cases under Florida Elder Abuse Statutes. [read post]
6 Nov 2023, 1:55 pm
FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
6 Nov 2023, 11:00 am
Jodway was licensed through FINRA, but the commission was not paid to his broker-dealer. [read post]
6 Nov 2023, 9:46 am
FINRA has not initiated any disciplinary action against Miles. [read post]
5 Nov 2023, 6:28 pm
In a recent disciplinary action by the Financial Industry Regulatory Authority (FINRA), Richard S. [read post]
5 Nov 2023, 6:03 pm
Failure to Cooperate with FINRA: In a significant compliance lapse, Wright failed to respond to FINRA’s requests for information and documents pertaining to various aspects of the firm’s operations and adherence to regulatory rules. [read post]
