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6 Sep 2019, 7:08 am
You got your FINRA suspension. [read post]
26 Dec 2014, 7:22 am
Join veteran Wall Street regulatory lawyer Bill Singer as he guides us through the nuts-and-bolts of FINRA Rule 9216.FINRA Rule 9216: Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2)(a) Acceptance, Waiver, and Consent Procedures(1) Notwithstanding Rule 9211, if the... [read post]
23 Nov 2015, 2:29 am
Ciriaco submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
27 Jun 2020, 2:54 am
Why didn't FINRA settle this case on that basis? [read post]
1 May 2023, 3:49 am
Further, until such time as FINRA demonstrates a sincere commitment to reform, all FINRA member firms should instruct their Executive Representative to not cast a vote for any candidate in any FINRA election by way of a boycott. [read post]
6 Mar 2020, 1:30 am
How does that rise to the level of a FINRA fine and suspension? [read post]
6 Jun 2015, 6:27 am
On the other hand, FINRA isn't necessarily a big fan of friendship. [read post]
12 Jul 2019, 3:42 am
Van Allen Respondent (FINRA AWC 2017053705201, July 15, 2019) http://www.finra.org/sites/... [read post]
7 Nov 2020, 3:38 am
Today's blog features a 2012 FINRA AWC. [read post]
25 Mar 2022, 12:16 pm
Case in PointPublic customer Kelli Fusaro apparently filed a FINRA Arbitration Statement of Claim against FINRA member firm Cambria Capital, LLC. [read post]
5 Jul 2016, 5:58 am
I recently posted "Support ROBERT MUH For FINRA Small Firm Governor" (BrokeAndBroker.com Blog, July 5, 2016), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") small firm community; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulatory authority; and expressed my support for Robert Muh's… [read post]
31 Aug 2012, 6:37 am
The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
31 Aug 2012, 6:37 am
The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
31 Aug 2012, 6:37 am
The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
25 Jun 2013, 7:30 am
FINRA 3270 only requires the registered person to provide notice to the firm before engaging in the activity, but should the firm do more. [read post]
18 Jun 2023, 9:37 am
FINRA sought to relieve these outcomes somewhat [...] [read post]
16 Jul 2019, 7:05 am
After FINRA’s investigation, Schwartz consented to the sanction, and of an indefinite bar from association with any FINRA broker-dealer, effective 4/16/2019. [read post]
29 Nov 2017, 3:33 pm
Guttman neither admitted to nor denied the conduct charged by FINRA. [read post]
25 Sep 2010, 7:53 am
Now, FINRA is preparing to take disciplinary action against many brokers who had participated in the sale of these products, or otherwise were involved in the program. [read post]
