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24 Jul 2020, 6:12 pm
On July 1, 2020, FINRA issued guidance to member firms on compliance with FINRA Rule 2210 (“Rule 2210”)) on the marketing of private placements to retail investors. [read post]
20 Jan 2014, 11:20 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Bedminster Financial Group, Ltd. [read post]
6 Aug 2020, 2:55 pm
On July 27, 2020, FINRA settled with broker-dealer JKR & Company (“JKR”) over allegations that the firm failed to detect, investigate, and report suspicious activity in four customer accounts in violation of FINRA Rules 3310(a) and 2010. [read post]
5 Jun 2020, 4:11 pm
FINRA found that Merrill Lynch’s ’s supervisory systems and procedures failed to ensure that certain customers received sales charge waivers and fee rebates that were available to them. [read post]
27 Jan 2010, 12:20 pm
The full text of the Regulatory Notice is available on FINRA’s website. [read post]
5 May 2011, 6:50 am
FINRA has announced, via Regulatory Notice 11-17, a newly revised Discovery Guide and Document Production Lists for customer arbitration cases. [read post]
22 Mar 2011, 8:02 am
On Friday, March 18, 2011, FINRA issued Regulatory Notice 11-12 entitled "FINRA Reminds Firms of Their Obligations Under the Foreign Corrupt Practices Act" (available here). [read post]
1 Oct 2012, 11:17 am
FINRA Boss Cautions Industry About Complex Products [read post]
7 May 2010, 12:40 pm
Financial Industry Regulatory Authority (FINRA) would be assuming the market surveillance and enforcement functions currently conducted by NYSE Regulation. [read post]
10 Jan 2014, 1:45 pm
Brown The Securities and Exchange Commission (the “SEC”) approved two new Financial Industry Regulatory Authority (“FINRA”) rules as part of FINRA’s ongoing rulebook consolidation process. [read post]
23 May 2019, 12:28 pm
“Protecting senior investors has long been a top priority for FINRA,” said FINRA President and CEO Robert Cook. [read post]
8 May 2012, 11:32 am
On May 2, 2012, FINRA's National Adjudicatory Council issued an appeal decision in a disciplinary case. [read post]
9 Dec 2010, 8:54 am
Here is the chart: Summary of FINRA Rule Initiatives [read post]
16 Jun 2022, 12:02 pm
Continue reading The post GWG L Bond Investor Recovers Losses After Filing a FINRA Arbitration Claim appeared first on Securities Arbitration Lawyer Blog. [read post]
25 Jan 2019, 12:51 pm
Continue reading The post FINRA Suspends Broker Patrick Phillips After Allegedly Borrowing $70K From Client appeared first on Securities Arbitration Lawyers Blog. [read post]
3 Nov 2021, 8:09 am
FINRA Suspends New York-Based Financial Advisor for Nine Months John Sebastion Cangialosi, currently an SW Financial broker, was suspended by the Financial Industry Regulatory Authority (FINRA) in September 2021 for nine months. [read post]
5 Nov 2015, 8:43 am
FINRA (Financial Industry Regulatory Authority) For our part, in addition to circulating the entire FINRA broker-dealer disciplinary report to help get the word out about these alleged misdeeds, we like to pick out some of the highlights from each report. [read post]
10 Dec 2019, 4:51 am
If it can be determined that the financial advisor in question 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]
18 Mar 2010, 10:17 am
During recent years, FINRA enforcement has been abysmal at best. [read post]
17 Oct 2014, 7:33 am
For FINRA’s full findings, see FINRA Case #2014041192301. [read post]
