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14 Apr 2021, 8:00 am
Wall Street Compliance Professionals Need FINRA Like A Heart Attack (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5811/finra-reminders-believes/FINRA just published another unnecessary Regulatory Notice in which the regulator reminds us about what it believes could constitute a violation of its rules. [read post]
14 Apr 2021, 8:00 am
2018 FINRA Arbitration AwardIn September 2015, public customer Claimant Manuel G. [read post]
14 Apr 2021, 1:50 am
CNN is reporting that the CEO of Robinhood is not licensed with FINRA, implies that he is required to be licensed, and that it is a "big deal" that he is not licensed.CNN is correct that absent an exemption, FINRA requires senior executives of a broker-dealer, including the CEO, to hold, as a minimum, a Series 7 and Series 24 license. [read post]
13 Apr 2021, 11:06 am
., both of which were expelled from the industry by FINRA. [read post]
13 Apr 2021, 6:26 am
Claims may be brought in securities arbitration before FINRA. [read post]
13 Apr 2021, 6:26 am
FINRA expelled this firm in October 2012. [read post]
13 Apr 2021, 5:38 am
., Inc. has faced numerous FINRA arbitration complaints from customers seeking to recover investment losses. [read post]
13 Apr 2021, 4:50 am
MSC – BD, LLC is facing at least one FINRA arbitration complaint from a customer seeking to recover investment losses in GPB funds. [read post]
13 Apr 2021, 4:42 am
McDonald Partners LLC has faced FINRA arbitration complaints from customers seeking to recover investment losses. [read post]
13 Apr 2021, 1:55 am
Independent Financial Group is a Financial Industry Regulatory Authority (FINRA) member firm, and Chang was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
13 Apr 2021, 1:55 am
Independent Financial Group is a Financial Industry Regulatory Authority (FINRA) member firm, and Chang was in the employment of the firm when he allegedly carried out the conducts related to the customer disputes. [read post]
12 Apr 2021, 11:33 am
This was coming after the regulatory action instituted against him by FINRA in July 2019. [read post]
12 Apr 2021, 11:33 am
This was coming after the regulatory action instituted against him by FINRA in July 2019. [read post]
12 Apr 2021, 9:29 am
Under FINRA rules, HCW maintains information barriers between its investment banking and research departments designed to ensure that research analysts are insulated from "review, pressure or oversight" by persons engaged in investment banking services activities. [read post]
12 Apr 2021, 9:06 am
Royal Alliance Associates has faced numerous FINRA arbitration complaints from customers seeking to recover investment losses. [read post]
12 Apr 2021, 9:00 am
Kalos Capital, Inc. has faced numerous FINRA arbitration complaints from customers seeking to recover investment losses. [read post]
12 Apr 2021, 8:55 am
Caiazzo Neff reported the situation to FINRA and was subsequently fired by the firm. [read post]
12 Apr 2021, 8:50 am
SagePoint Financial, Inc. has faced numerous FINRA arbitration complaints from customers seeking to recover investment losses. [read post]
12 Apr 2021, 8:44 am
Money Concepts Capital Corp has faced FINRA arbitration complaints from customers seeking to recover investment losses. [read post]
12 Apr 2021, 8:39 am
Silber Bennett Financial, Inc. is no longer registered with FINRA. [read post]
