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7 Mar 2017, 5:53 am
Today's FINRA regulatory case started with a credit card. [read post]
17 Aug 2016, 6:50 am
All of which reminds me of a recent FINRA soccer match . . . oops, I mean FINRA intra-industry arbitration.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2015, and as amended thereafter, former employee Claimant Storaska Claimant asserted that he had been... [read post]
9 Jul 2018, 8:17 am
FINRA continues to have a hard time understanding the concept of "victim. [read post]
30 Aug 2018, 7:12 am
In a recent FINRA regulatory settlement, we know how things turned out: a stockbroker is barred. [read post]
8 May 2020, 6:31 am
In a recent FINRA Intra-Industry Arbitration case, we see the shadow of COVID cast a long and dark presence over our industry. [read post]
1 Sep 2017, 9:31 am
In a recent FINRA settlement, we are confronted with misconduct that allegedly took place in 2009. [read post]
19 Nov 2018, 4:39 am
In a recent FINRA arbitration, we are confronted with the oddity of no-show claimants and their lawyer. [read post]
30 Nov 2018, 11:32 am
FINRA knows that. [read post]
1 Jun 2017, 8:28 am
Hopefully the good folks at FINRA will consider Bill's critique and respond to it in a constructive fashion.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 ... [read post]
27 Jun 2014, 6:03 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, Peter Saunders Paisley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Feb 2020, 11:14 am
" In a recent FINRA Arbitration, an underwriter sued to recover a success fee. [read post]
2 Aug 2016, 4:37 am
Whatever the motivation, a FINRA member firm's use of Foreign Associates has regulatory and compliance ramifications. [read post]
17 Jun 2014, 3:23 am
We're not sure -- but it certainly seems like he's upset again with a FINRA Arbitration Decision that doesn't make a lot of sense.Manxome FoesIn a FINRA Arbitration Statement of Claim filed in November 2012, registered person Claimant Stoopler asserted that Respondents had entered incorrect and defamatory remarks on his Uniform Termination Notice For Securities Industry Registration (“Form U5”) . [read post]
18 Feb 2021, 5:14 am
FINRA was not amused. [read post]
1 Aug 2022, 4:04 am
In a recent FINRA Arbitration Award, an arbitrator mounts Rocinante and grabs a lance. [read post]
29 Jan 2021, 6:48 am
FINRA's expungement process routinely comes under attack from all quarters. [read post]
18 Aug 2014, 7:05 am
In the Matter of the FINRA Arbitration Between Kevin Christian D... [read post]
25 Nov 2017, 4:43 am
In the game of chess, there's that "Touch-Move" rule that says that once you touch your piece, you must move it and no amount of begging, pleading, or arguing allows you to take the move back.After a Respondent had signed on the dotted line of a FINRA Acceptance, Waiver and Consent settlement, he had second thoughts -- or, as he would argue, FINRA reneged on the understanding that he and the regulator had... [read post]
29 Jun 2017, 12:19 pm
We have a 15-year Marine Corps veteran in the role of a respondent in a FINRA regulatory settlement. [read post]
28 Jun 2016, 10:08 am
The Financial Industry Regulatory Authority's ("FINRA's") Board of Governors presently consists of 24 members: Chief Executive Officer of FINRA; 13 Public Governors; 1 Floor Member Governor; 1 Independent Dealer/Insurance Affiliate Governor; 1 Investment Company Affiliate Governor; 3 Small Firm Governors; 1 Mid-Size Firm Governor; and 3 Large Firm Governors.Of the above 24 FINRA Governors, all are… [read post]
