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5 Apr 2017, 12:22 pm
In fact, Bill Singer is wondering why FINRA seems to have pulled its punch when sanctioning this respondent. [read post]
25 Sep 2017, 7:28 am
In any event, as a recent regulatory settlement shows, FINRA is in bed between a registered and unregistered spouse.Case In PointIn response to the filing of a Complaint on July 27, 2017, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Thomas Lawrence submitted an Offer of Settlement dated September 18,... [read post]
5 Apr 2017, 1:03 pm
Cagle submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
7 Aug 2023, 4:51 am
Over five years ago in "FINRA Sanctions Charitable Remainder Trust Pitch" (BrokeAndBroker.com Blog / January 22, 2018), our publisher Bill Singer, Esq., applauded a well-written FINRA AWC settlement concerning the respondent registered representative's promotion of a charitable remainder trust. [read post]
1 Feb 2016, 2:21 am
The Corrective Action Statement does not constitute factual or legal findings by FINRA, nor does it reflect the views of FINRA or its staff.Regular readers of the BrokeAndBroker.com Blog know that I am no fan of Corrective Action Statements and rarely, if ever, advocate their us... [read post]
23 Oct 2017, 4:15 am
What caught my attention about today’s featured FINRA arbitration, however, was its caption. [read post]
28 Dec 2017, 11:00 am
Today's featured FINRA regulatory settlement involves the dubious practice of short-term trading in Class A mutual fund shares. [read post]
23 Feb 2017, 5:45 am
Some call me FINRA's leading critic. [read post]
15 Oct 2014, 11:23 am
Frankly, I don't agree with certain aspects of the FINRA's OBA Rule. [read post]
18 May 2016, 4:34 am
Except the business didn't exist.The odd thing -- the unsettling thing -- is not only does the stockbroker think that there is some mitigation to be presented on his behalf but, inexplicably, FINRA seems to share his belief.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of… [read post]
29 Apr 2013, 6:33 am
In the Matter of the FINRA Arbitration Between Wells Fargo Advisors, LLC, Claimant, vs. [read post]
27 Dec 2019, 6:48 am
In a recent case, however, FINRA didn't seem to issue its typical warning. [read post]
9 Oct 2020, 8:45 am
In fairness to FINRA, the OBA protocol is fairly straightforward: A registered rep who wants to engage in OBA is required to notify his employer. [read post]
27 Aug 2018, 5:28 am
He thinks that they are too often speed traps on FINRA's regulatory highway. [read post]
22 Jan 2018, 4:32 am
Other public customers come to FINRA arbitration deadly serious. [read post]
13 Aug 2018, 8:15 am
You wouldn't think any of that would set the stage for an amazing FINRA Arbitration Decision. [read post]
21 Feb 2013, 10:11 am
In Paragraph 13 of the Complaint, FINRA alleged that Schwab included the following amended language in its new account agreements around October 1, 2011. [read post]
21 May 2021, 3:23 am
Why didn't FINRA step in and do the right thing, at its own cost? [read post]
18 Sep 2017, 3:52 am
Should FINRA's Decisions always disclose everything even remotely relevant to a party's background? [read post]
22 Feb 2017, 11:15 am
Today's BrokeAndBroker.com Blog considers a recent FINRA regulatory settlement involving the legacy of life settlement sales.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, James Calder submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which… [read post]
