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25 Apr 2017, 11:48 am
FINRA and the SEC have been working to minimize this occurrence. [read post]
19 Feb 2014, 5:57 am
One of the most common questions I receive as a FINRA securities attorney is whether or not a client is likely to prevail at a FINRA arbitration hearing. [read post]
23 Jul 2015, 2:58 pm
” This is the start of a FINRA registered representative’s worst nightmare. [read post]
28 Feb 2019, 8:29 am
The FINRA complaint alleges that Schwartz violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder as well as FINRA rules 2010, 2011 and 2020. [read post]
29 Nov 2016, 8:41 am
FINRA hit Valic Financial Advisors (VFA) with a whopping $1.75 million fine for a several conflicts of interest having to do with the way it compensated brokers selling annuities. [read post]
24 Feb 2014, 2:24 pm
Consequently, FINRA found that certain PNC registered representatives did not have an adequate understanding of Non-Traditional ETFs before they recommended these products to customers in violation of FINRA’s suitability rule. [read post]
22 Jul 2024, 1:39 pm
FINRA BrokerCheck – Todd Ray Anderson The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
2 Jun 2010, 3:07 am
On Maarch 3, 2010, FINRA’s National Adjudicatory Counsel entered a decision reversing a Hearing Panel’s finding that the CEO and institutional sales desk manager for a broker-dealer failed to reasonably supervise an institutional sales trader. [read post]
13 Jun 2019, 6:50 am
FINRA Focuses on Unsuitable Sales of Leveraged ETFsThe securities industry self-regulator, FINRA, has once again warned broker-dealers and investors over its unsuitable sales of leveraged and inverse ETFs. [read post]
21 Feb 2017, 7:08 am
A FINRA arbitration panel awarded nearly $9 million to an investor, Luis R. [read post]
6 Sep 2018, 9:40 am
The post FINRA Censures Lincoln Investment Planning for Mutual Fund Overcharges appeared first on White Securities Law. [read post]
25 Aug 2015, 8:24 am
Despite having received a notice from FINRA, Adams still did not update his Form U4 until December 3, 2013, the day prior to his testimony before FINRA. [read post]
2 Feb 2012, 6:18 am
FINRA claims that both provisions violate FINRA rules governing language that its members may include in customer agreements. [read post]
3 May 2024, 11:49 am
On March 14, 2024, FINRA suspended Adusei from association with any member. [read post]
31 Mar 2010, 6:09 am
Source: FINRA News Release [read post]
8 Jan 2020, 10:00 am
FINRA FINES 5 BIG FIRMS FOR ‘KNOW YOUR CUSTOMER’ FAILURESThe Financial Industry Regulatory Authority (FINRA) sanctioned Citigroup Global Markets, J.P. [read post]
12 Jun 2014, 5:38 am
The Financial Industry Regulatory Authority (FINRA) recently fined brokerage firm Investors Capital Corp. [read post]
4 Mar 2015, 6:36 am
” FINRA Rule 8210 authorizes the regulator to require persons associated with a FINRA member to provide information with respect to any matter involved in the investigation. [read post]
5 Mar 2015, 6:12 am
FINRA requested that Beemer appear and provide testimony. [read post]
28 Apr 2014, 8:17 am
Colorado Financial is based in Centennial and became a FINRA member in 2000. [read post]
