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3 Feb 2012, 10:19 pm
Schwab claims that the FAA and the Supreme Court’s decisions in AT&T Mobility and CompuCredit trump FINRA’s rules. [read post]
4 Jan 2024, 12:10 pm
(FINRA) regarding the matter. [read post]
3 Feb 2016, 3:07 am
As Steven Quinlivan notes in this blog, the first crowdfunding portal has filed to be registered with the SEC – and as noted in this MoFo blog, the SEC recently approved FINRA’s funding portal rules that were subject to technical amendments a few weeks ago – and FINRA issued Regulatory Notice 16-06, which provides an overview of the new Funding Portal Rules. [read post]
9 Dec 2015, 6:22 am
The Financial Industry Regulatory Authority (FINRA) brought an enforcement action (FINRA No. 2011025610501) against brokerage firm Braymen, Lambert and Noel Securities, Ltd. [read post]
19 May 2021, 9:11 am
On May 17, 2021, a FINRA arbitration panel issued an award in favor of customer Donna Wagner in a securities arbitration against Brokers International Financial Services, LLC and former broker Mark Christopher Perry. [read post]
13 Dec 2018, 12:04 pm
If it can be determined that Steven Knuttila violated FINRA rules and the employers failed to adequately supervise him, these firms can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
17 Sep 2016, 6:36 am
(FINRA No. 2016049621301). [read post]
22 Oct 2012, 1:29 pm
FINRA announced that it ordered David Lerner Associates, Inc. [read post]
17 Oct 2007, 6:38 am
FINRA/NASD's Fairness Opinion Proposal: Finally Final After a long wait - and four amendments - the SEC has issued an Order approving FINRA (formerly NASD) Rule 2290 on an accelerated basis (this rule was first proposed in mid-'05). [read post]
31 Mar 2013, 12:09 pm
FINRA assists investors in serving claims on brokerage firms. [read post]
24 Oct 2014, 3:26 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Financial America Securities, Inc. [read post]
22 Jul 2015, 6:28 am
FINRA alleged that Bray was responsible for supervising the sales activity of Maberry. [read post]
4 Feb 2014, 6:15 am
However, according to FINRA Burstein failed to review customer accounts for any of the foregoing activities. [read post]
27 Feb 2014, 5:36 am
According to FINRA, the representative provided Matrix with switch forms for each customer. [read post]
10 Oct 2014, 6:14 am
Beck for the conduct alleged by FINRA. [read post]
7 Dec 2009, 2:57 pm
” Related Web Resources: Finra execs pocketed millions in '08, while SRO was in the red, Investment News, December 3, 2009 FINRA [read post]
27 Feb 2015, 6:41 am
In 1985 McCourt associated with FINRA firm Foothill Securities, Inc. [read post]
23 Nov 2011, 6:32 am
” Wells Investment Securities has not admitted or denied FINRA’s findings. [read post]
18 Jun 2015, 6:03 am
FINRA found that tone of these documents disclosed the selling compensation NSC received for its role in selling the private placement. [read post]
