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16 Dec 2015, 11:07 am
As i blogged here and here, in mid-2014, FINRA appointed a Task Force, Chaired by (retired) Professor Barbara Black, my former colleague and frequent co-author, “to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA’s securities arbitration forum for all participants. [read post]
22 Sep 2011, 3:05 am
Although FINRA recognizes that "such uninvited pronouncements place prospective offering participants in a challenging situation," FINRA nonetheless warns that "even tacit acquiescence to such overtures to be a violation of NASD Rule 2711(e)," the FINRA rule prohibiting brokers from promising favorable research to a company as an inducement or consideration for receiving business. [read post]
25 Jan 2019, 1:03 pm
Continue reading The post Sharing Customer Losses Leads To FINRA Suspension For Raymond Menna appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Dec 2022, 9:17 am
Continue Reading › The post Parking REIT Investors May Be Able to File FINRA Lawsuits appeared first on Investor Lawyers Blog. [read post]
17 Mar 2011, 6:44 am
FINRA has issued Regulatory Notice 11-08, seeking comment relating to its proposal to consolidate NASD & NYSE rulebooks in the area of markups (and markdowns), commissions, and fees. [read post]
4 May 2011, 6:00 am
FINRA has been engaged in a flurry of rulemaking in recent months. [read post]
23 Oct 2015, 2:59 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, David den Boer submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
21 May 2013, 10:31 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Gary Mitchell Spitz submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Jun 2015, 2:48 am
Of course, in recent years -- okay, in recent decades -- that concept of "commercial honor" seems a somewhat elusive one for many of FINRA's largest member firms. [read post]
25 Jan 2017, 5:08 am
I criticize FINRA not simply because of what it has become but because I know wha... [read post]
30 May 2018, 9:26 am
A recent FINRA AWC regulatory settlement shows how self-regulation should work and also shows how FINRA is capable of rising to the occasion. [read post]
22 Feb 2017, 5:40 am
As three recent FINRA regulatory settlements show, the regulator's Peeps protocol produces putrid policies.Case In Point IFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Diana Lynne Stamborski submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which… [read post]
22 Dec 2015, 8:38 am
FINRA seems to have gotten the rep dead to rights on the regulatory violation thing. [read post]
26 Dec 2017, 3:26 am
The resulting FINRA Arbitration Decision ends the year on a high note as it is well written, concise, and persuasive. [read post]
14 Mar 2017, 6:37 am
Alas, FINRA just harshed the mellow of a stockbroker who was stoking the fires, so to speak, of a pot biz. [read post]
5 Aug 2014, 3:19 am
Not a lot of folks are fans of FINRA arbitrations. [read post]
23 May 2017, 2:10 am
Kohn for 2017 FINRA Small Firm Governor" (BrokeAndBroker.com Blog, May 30, 2017), in which I set out the case for a more meaningful and representative role for the Financial Industry Regulatory Authority ("FINRA") Small Firm community; called for the implementation of overdue self-regulatory reform; urged the small firm membership to support qualified, sincere, and committed candidates for elective office at the self-regulator; and expressed my support for Stephen… [read post]
2 Feb 2017, 9:04 am
Today's BrokeAndBroker.com Blog covers a fairly mundane bit of self regulatory esoterica in the form of a FINRA member firm's failure to update its Membership Agreement. [read post]
6 Apr 2017, 6:16 am
Pilosi submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
25 Mar 2020, 10:51 am
There are those who defend FINRA's system of mandatory public and intra-industry arbitration. [read post]
