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16 Aug 2017, 4:37 am
Speaks volumes about the benefits of alternative dispute resolution before FINRA. [read post]
8 Jan 2018, 3:13 am
An industry veteran takes on her former FINRA member firm in an effort to clear her name. [read post]
31 Aug 2014, 3:06 am
In a recent case, FINRA alleges that far too many red flags went undetected.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, Edwin Quinones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 Jul 2013, 3:49 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, George Bussanich submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Apr 2016, 4:57 am
Was FINRA too lenient with its sanctions? [read post]
1 Aug 2013, 4:46 am
A federal district court just vacated a FINRA arbitration award in favor of Goldman Sachs because an arbitrator had failed to disclose the full extent of some pending legal problems. [read post]
21 Feb 2017, 3:16 am
In the Matter of the FINRA Arbitration B... [read post]
12 Apr 2019, 5:19 am
We know that a 2015 FINRA AWC involving Voya Financial was deemed a "relevant disciplinary history" in a 2016 FINRA AWC involving Voya. [read post]
19 Jul 2017, 9:11 am
Pursuant to FINRA's rules, member firms may only vote for a nominee from their respective sized firm. [read post]
4 May 2018, 10:59 am
It's a fairly compelling effort by FINRA but for the fact that the published settlement agreement raises a few questions that aren't answered.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, E.J. [read post]
19 Feb 2010, 5:53 am
FINRA materials may further clarify the scope of this review. [read post]
23 May 2017, 6:02 am
(FINRA Case #2014041137501) Kelly Clayton Althar (CRD #2666723, San Pablo, California) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. [read post]
26 Jun 2014, 5:30 am
Carolina Financial has been FINRA member since 1997 and operates out of Brevard, North Carolina. [read post]
31 Jul 2015, 5:33 am
FINRA also alleged that Angel settled a customer complaint without notifying his firm. [read post]
28 Dec 2014, 9:05 am
We were reminded of this by the story this weekend in the Wall Street Journal, which found that the brokerage industry regulator, FINRA, leaves a lot of red flags concerning members off its BrokerCheck website. [read post]
27 Feb 2012, 1:16 pm
All of these products are commented on in FINRA’s letter and are on their radar for 2012. [read post]
15 Apr 2022, 2:34 pm
On April 19, 2022, FINRA published:"FINRA Membership Application Program Transformation" (FINRA Information Notice)https://www.finra.org/sites/default/files/2022-04/Information-Notice-041922.pdfIt's nice that FINRA publishes something the self-regulatory-organization calls an Information Notice; after all, there should be at least a smidgeon of "Information" in any "Notice" published by a Wall Street Regulator, no? [read post]
12 Sep 2019, 1:06 am
Mutual Of Omaha Investor Services, Inc., Respondent (FINRA Arbitration Decision 18-02220) https://www.finra.org/sites/default/files/aao_documents/18-02220.pdfThe FINRA Arbitration Decision asserts that:... [read post]
18 Dec 2017, 3:43 am
A recent FINRA regulatory settlement troubles and angers BrokeAndBroker.com Blog publisher Bill Singer, Esq. [read post]
10 Apr 2023, 4:02 am
I ain't gonna pull my punches here: FINRA Rule 12904 is absurd and anti-consumer. [read post]
