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7 Jan 2022, 11:54 am
Joseph John Weinrich, Respondent (Default Decision, FINRA Office of Hearing Officers, Discip. [read post]
23 Dec 2013, 2:58 am
And then we got the self-regulatory organization Financial Industry Regulatory Authority ("FINRA") giving what looks to be little more than a relatively half-hearted slap on the wrist to the registered representative.For the purpose of proposing a settlement of rule violations alleged by FINRA, without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Michael Cox submitted a Letter of Acceptance, Waiver and Consent… [read post]
18 Nov 2014, 10:14 am
By way of spoiler alert: FINRA settled charges involving records that were altered during an in-house audit at UBS. [read post]
11 Dec 2021, 12:46 pm
A recent FINRA Arbitration Award seems out of step with the tenor of the times. [read post]
1 Jul 2021, 7:25 am
Somewhat lost in FINRA's hostility seems to be a recognition, grudging as it might be, that NT-ETFs are legal, approved, and regularly traded. [read post]
13 Aug 2022, 8:55 am
A panel of three FINRA arbitrators found TD Ameritrade's management to have been grossly negligent and failing to use due diligence. [read post]
10 Jul 2023, 5:02 am
We got lots of clues and hints but just can't crack FINRA's indecipherable code. [read post]
10 Apr 2020, 4:20 am
In a recent FINRA Arbitration, the dispute seems to have come down to whether a former associated person had left the employ of FINRA member firm GFI in a "good" manner. [read post]
19 Mar 2013, 7:49 am
For 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, Donahue Edwin Jones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Feb 2019, 3:09 am
Not stated in the AWC was whether FINRA determined that the accounts at issue were profitable or sustained losses. [read post]
7 Jun 2017, 3:33 am
Two of the three FINRA arbitrators found for UBS. [read post]
19 Jun 2017, 3:17 am
(not a gnome even if he sort of looks like one, but, at least a Brad Pitt look-alike gnome) of a recent FINRA Arbitration Decision. [read post]
9 Feb 2019, 6:43 am
Is FINRA cowering under his spell? [read post]
6 Jul 2016, 4:28 am
Bob is a far more temperate and contemplative advocate for FINRA small firms and industry reform than I, and, as such, we do not always agree on many issues. [read post]
11 Oct 2016, 5:57 am
The Chef's Special is a FINRA regulatory settlement, slightly baked, featuring an unfair ACAT charge and a side of not-so-prompt puree. [read post]
4 Nov 2016, 6:02 am
Among the most common FINRA regulatory matters that are presented in the BrokeAndBroker.com Blog are those involving registered representative's failures to disclose (or to timely disclose) matters on their Form U4. [read post]
9 Oct 2023, 1:21 pm
(“FINRA”). [read post]
25 Jun 2021, 7:19 am
2017 FINRA Arbitration As set forth in the Syllabus to the SEC Opinion in In the Matter of the Application of Constantine Gus Cristo for Review of Action Taken by FINRA (SEC Opinion; '34 Act Rel. [read post]
21 Jun 2016, 8:08 am
After you get lost in that lonely game FINRA plays, sit back and enjoy an absolutely amazing music video with George Benson, Chaka Khan, and Ray Charles! [read post]
24 Jul 2017, 3:47 am
Do those sanctions fall within FINRA's "Sanction Guidelines"? [read post]
