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4 Mar 2024, 7:12 am
FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial advisor. [read post]
26 Apr 2019, 8:28 am
The bulk of these funds came from fines imposed by FINRA. [read post]
24 Jun 2017, 10:02 am
FINRA Rule 9552. [read post]
5 Jan 2024, 12:16 pm
FINRA has certain rules in place to protect investors, such as FINRA Rule 2330. [read post]
21 Feb 2018, 6:40 am
The post Marcus Parker Barred From Industry by FINRA appeared first on . [read post]
8 Feb 2018, 11:25 am
About a week ago, FINRA released a Special Notice detailing a new portal for stakeholders to signal their willingness to serve on FINRA's board and other important committees. [read post]
27 Sep 2020, 5:58 pm
Here are some of the key takeaways from the proposed rule change: Denial of FINRA Forum Continue reading › The post FINRA SEEKS TO LIMIT EXPUNGEMENT REQUESTS WITH PROPOSED RULE appeared first on FINRA Lawyer Blog. [read post]
31 Mar 2020, 6:13 am
According to FINRA Disciplinary actions for March 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barry Carson Farmers Financial Solutions Lynn Cawthorne Cambridge Investment Research, Inc. [read post]
26 Nov 2013, 7:00 am
Over the course of the next 18 months, FINRA will proceed on two tracks regarding the removal of negative information from broker records. [read post]
20 Apr 2015, 5:03 am
In general, FINRA member firms' communications with the public must comply with FINRA Rule 2210. [read post]
22 Mar 2022, 9:10 am
On March 17, 2022, FINRA released Regulatory Notice 22-10. [read post]
21 Oct 2019, 7:00 am
Vest Investment Services and Prospera Financial Services, was suspended from FINRA membership as a result of an investigation into securities related activity conducted by regulator FINRA. [read post]
14 May 2020, 12:23 pm
” Underlying Conduct Continue reading › The post FINRA CRUSHES AN ANALYST FOR DISCLOSING PROPRIETARY INFORMATION appeared first on FINRA Lawyer Blog. [read post]
6 Nov 2023, 1:55 pm
FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
2 Feb 2023, 6:40 pm
Continue Reading › The post Dallas FINRA Attorneys appeared first on Investor Lawyers Blog. [read post]
1 May 2023, 8:10 pm
Continue Reading › The post Illinois FINRA Attorneys appeared first on Investor Lawyers Blog. [read post]
26 May 2020, 1:50 pm
As a result of Hannes’ refusal to comply with FINRA, Hannes was determined to have violated FINRA Rules 2010 and 8210. [read post]
8 Feb 2023, 11:17 am
The SEC authorized FINRA in 2021 to devise its list of restricted firms and impose new obligations, including the segregated pool of funds, as part of FINRA Rule 4111, which took effect in January 2022. [read post]
12 Aug 2022, 11:49 am
Continue reading › The post FINRA RELEASES GUIDANCE ON SUPERVISION RELATING TO DIGITAL SIGNATURES appeared first on FINRA Lawyer Blog. [read post]
19 Jul 2018, 11:08 am
FINRA Case #2017053798602) Craig Eugene Walker (CRD #5427440, Madison, Mississippi) – An AWC (Accept, Waiver & Consent) was issued in which Walker was barred from association with any FINRA member in all capacities. [read post]
