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19 Feb 2021, 7:56 am
According to FINRA Disciplinary actions for January 2021, 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. [read post]
19 Feb 2021, 7:40 am
What Is FINRA Rule 9554? [read post]
19 Feb 2021, 7:25 am
According to FINRA Disciplinary actions for January 2021, the following individuals were barred 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 Casey Brougham Nationwide Securities, LLC Nationwide Securities, Inc. [read post]
19 Feb 2021, 6:29 am
Read more about protecting yourself against these kinds of fraudulent activities on FINRA’s website. [read post]
19 Feb 2021, 4:03 am
Evan violated FINRA Rules and without admitting or denying the findings, he consented to the sanction that barred him from associating with any FINRA member firm in any capacity indefinitely. [read post]
19 Feb 2021, 4:03 am
Evan violated FINRA Rules and without admitting or denying the findings, he consented to the sanction that barred him from associating with any FINRA member firm in any capacity indefinitely. [read post]
18 Feb 2021, 7:55 am
FINRA has fined Network 1 Financial Securities Inc. [read post]
18 Feb 2021, 5:14 am
In this new age of virtual meetings and remote workforces, it is critical to understand how a potential, new employer meets the online demands of the ongoing pandemic and how such a firm is preparing for the post-pandemic landscape.Finders Keepers Losers Weepers Ends With FINRA Bar (BrokeAndBroker.com Blog... [read post]
18 Feb 2021, 5:14 am
., Mangan & Ginsberg LLP, and Michael Rothstein, Defendants (Memorandum, EDPA)Not Getting Away With What You Are Trying To Get Away With On Wall Street (BrokeAndBroker.com Blog)FINRA Bars Rep Over Private Securities TransactionsIn the Matter of Scott Wayne Reed, Respondent (FINRA AWC)SEC Awards Almost $3 Million Total in Separate Whistleblower Awards (SEC Release)... [read post]
18 Feb 2021, 5:14 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5711/securities-industry-commentator/GUEST BLOG: COVID-19's Impact on Financial Advisors / How the Pandemic is Changing the Way Advisors Work by Michael King of Michael King Associates (BrokeAndBroker.com Blog)SEC Charges Individual for Engaging in Illegal Unregistered Offering (SEC Release)SEC Issues Whistleblower Awards Totaling Over $1.7 Million… [read post]
18 Feb 2021, 5:14 am
Finders Keepers Losers Weepers Ends With FINRA Bar (BrokeAndBroker.com Blog)Wall Street clearing firm proposes 1-day trade settlement after Robinhood controversy (CNBC by Maggie Fitzgerald)Vero Beach Man Sentenced To 15 Years In Federal Prison For More Than $40 Million In Fraud (DOJ Release)Court Imposes Fraud Injunction and Penny Stock Bar On Individual and Orders Judgments of Over $14 Million Against Entities That Facilitated International Microcap Scheme (DOJ Release)Final Defendant… [read post]
18 Feb 2021, 5:14 am
FINRA was not amused. [read post]
17 Feb 2021, 4:56 pm
Here too, however, aggrieved investors will often be able to recover their losses through FINRA arbitration or securities litigation. [read post]
17 Feb 2021, 2:01 pm
As alleged by FINRA in its action against Luftschein, churning constitutes a violation of securities laws and FINRA Rules. [read post]
17 Feb 2021, 1:34 pm
That violated three rules of FINRA, the main U.S. securities regulator, that prohibits brokers from obtaining loans from customers, who were elderly. [read post]
17 Feb 2021, 12:58 pm
Tavel’s FINRA suspension and termination from LPL and Charter Advisory Corporation was for violation of company policies and FINRA Rules governing private securities transactions, i.e. [read post]
17 Feb 2021, 11:58 am
The post Member Firms ask FINRA to Redefine Supervision after Working Remotely appeared first on The White Law Group. [read post]
17 Feb 2021, 10:34 am
Unauthorized Trading and Abuse of Fiduciary Duty By Older Investor’s Grandsons A Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled that JP Morgan Securities (JPM) and its ex-brokers, Avi Elliot Schottenstein and Evan A. [read post]
17 Feb 2021, 9:22 am
FINRA Highlights The Risks Associated With Variable Annuities In FINRA’s AWC with VALIC, it stated “[v]ariable annuities are complex products . . . [read post]
17 Feb 2021, 8:52 am
FINRA expelled Mr. [read post]
