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20 Apr 2015, 3:51 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration S... [read post]
8 Jul 2016, 2:28 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]
21 Dec 2021, 12:20 pm
Continue Reading › The post Ex-Parkland Securities Broker Keith Ashley, Who Is Accused of Murder, Faces FINRA Charges appeared first on Investor Lawyers Blog. [read post]
3 Jun 2015, 7:55 am
Speaking at the “Ask FINRA Senior Staff” session of FINRA’s annual conference last Friday, two senior executives explained that, in FINRA’s view, the case was not about FINRA disciplining a firm for an isolated, inadvertent mistake. [read post]
12 May 2020, 3:07 am
If it can be determined that the Independent Financial Group violated FINRA rules, it can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
28 Dec 2012, 4:32 pm
The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
9 Mar 2016, 12:11 pm
According to FINRA, in August and September, 2013, Murphy made a $1.2 million investment in a private placement for which TGP Securities, Inc. [read post]
13 Jul 2017, 7:07 am
The FINRA arbitration panel denied requests from the three brokers named in the case to have their records in FINRA’s Central Registration Depository (CRD) expunged. [read post]
19 Mar 2016, 6:06 am
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Jeffrey Ingros (Ingros) (FINRA No. 2013039166001) working out of Beaver, Pennsylvania. [read post]
13 Nov 2013, 5:35 am
FINRA Rule 2010 states: “A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade. [read post]
28 Sep 2021, 9:52 am
Continue Reading › The post SSEK Law Firm Files FINRA Arbitration Claims Against J.P. [read post]
8 Jan 2013, 1:12 pm
FINRA posted on its website a review of its 2012 activities. [read post]
3 Apr 2013, 5:07 am
FINRA recently proposed amending Rule 8313 regarding the public release of disciplinary complaints and decisions. [read post]
14 May 2013, 6:15 am
”SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams; Release No. 2013-86; May 9, 2013 [read post]
15 Jan 2012, 7:38 am
In a Federal Register notice issued last week, the SEC published for public comment a proposal to amend Rule 13201 of the FINRA Code of Arbitration Procedure for Industry Disputes to expressly preclude employees of FINRA members from arbitrating collective actions arising under the Fair Labor Standards Act, the Age Discrimination in Employment Act or the Equal [...] [read post]
2 Feb 2015, 12:00 am
FINRA is a nonprofit organization dedicated to investor protection and market integrity. [read post]
4 Mar 2012, 11:46 am
The SEC has published two requests for public comment on proposals to amend two separate FINRA Dispute Resolution procedural rules. [read post]
23 Sep 2011, 9:55 am
In a decision with potentially far-reaching importance for the scope of permissible arbitrations in FINRA’s dispute resolution forum, the Second Circuit held yesterday that an issuer who purchases auction-facilitating services for its auction rate securities from a broker-dealer is a “customer” of that broker-dealer within the meaning of FINRA Rule 12200. [read post]
8 Apr 2010, 7:39 am
The release amends earlier FINRA proposals by addressing issues raised by comments to its earlier proposed changes. [read post]
21 Oct 2014, 1:35 pm
As reported this week by Law360 (subscription required), the Financial Industry Regulatory Authority (FINRA) recently issued a reminder (Regulatory Notice 14-40) warning firms against the use of confidentiality provisions in settlement agreements that prohibit or otherwise restrict customers or anyone else (such as current employees) from communicating with the Securities Exchange Commission (SEC), FINRA, or any federal or state regulatory authority regarding a possible securities… [read post]
