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23 Jan 2019, 6:09 am
Unlike previous letters, FINRA has not repeated topics that have been the mainstays of FINRA’s attention over the years. [read post]
8 May 2013, 5:00 am
So the FINRA Regualtory Notice caught my eye. [read post]
1 Dec 2023, 8:06 am
Subsequently, FINRA issued a Letter of Acceptance, Waiver & Consent (AWC) barring Matalon from affiliation with any FINRA member broker-dealer in any capacity. [read post]
4 Feb 2015, 7:03 am
As a result, FINRA alleged that both Radnor and Scholander willfully violated the FINRA rules. [read post]
30 May 2017, 5:48 am
(FINRA Case #2013036799501) J. [read post]
23 Oct 2007, 1:13 pm
More on FINRA's Fairness Opinion Rule Quite a few members have sent me a link to the M&A Law Prof Blog for a more analytical take on FINRA's new proposed Rule 2290 regarding fairness opinions - here is one excerpt: "the SEC approved the rule on an expedited basis. [read post]
31 Jan 2011, 6:09 pm
In a remarkably short time period, the Securities and Exchange Commission approved a proposed rule change filed by FINRA to provide investors with the option of selecting an all public arbitrator panel in arbitrations filed against their brokers or brokerage firms in FINRA’s Dispute Resolution forum. [read post]
11 Feb 2011, 12:24 pm
FINRA continues to revise its Codes of Arbitration Procedure in response to developments in arbitration practice. [read post]
7 Jun 2017, 12:33 pm
A personal message from Bill Singer, Publisher of the BrokeAndBroker.com Blog:With Stephen Kohn and Jim Webb, the FINRA Small Firm community now has two superb candidates for the 2017 FINRA Small Firm Governor seat. [read post]
6 Oct 2011, 7:31 am
FINRA is concerned that sales agents are not explaining those risks to investors. [read post]
10 Feb 2012, 2:47 am
FINRA?) [read post]
31 Jan 2012, 8:42 am
FINRA?) [read post]
11 Dec 2017, 3:23 am
Sometimes there is a compelling gestalt and FINRA's right. [read post]
16 Feb 2009, 2:12 pm
SEC and FINRA respondents who did not hire attorneys never got any charges dismissed, whereas those that hired counsel got 22 percent of charges dismissed before the SEC, and 19 percent of charges dismissed before FINRA. [read post]
23 Oct 2017, 8:16 am
FINRA found that Wells Fargo failed to implement a sufficient or credible supervisory system to oversee solicited sales of volatility linked ETPs. [read post]
1 Aug 2017, 5:19 am
(FINRA Case #2013035865303) Spencer Edwards, Inc. [read post]
20 Jul 2017, 6:13 am
(FINRA Case #2016051146801) Adriane L. [read post]
13 Aug 2009, 8:39 am
FINRA announced in Regulatory Notice 09-41 the new registration category for investment banking representatives. [read post]
29 Nov 2011, 3:29 pm
FINRA recently announced that it sanctioned eight firms and ten individuals, and ordered $3.2 million in restitution to investors for selling interests in private placement securities offering without conducting a “reasonable basis” suitability analysis for such recommendations. [read post]
12 Dec 2022, 7:25 am
Prior to his bankruptcy filing, Venturino was suspended by FINRA for failing to comply with an award on 7/17/2018. [read post]
