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7 Dec 2017, 8:45 am
The Notice also proposes additional changes to the expungement process that would apply to all requests for expungement of customer dispute information.This proposal is one in a series of regulatory initiatives that FINRA is considering related to the expungement process. [read post]
15 Mar 2022, 10:35 am
He noted that while the FINRA Exam Priorities Letter points out Form CRS issues as common deficiencies, FINRA does not necessarily quantify the number of firms with these issues. [read post]
27 Sep 2007, 12:20 pm
FINRA is going to force him to a hearing? [read post]
28 May 2021, 8:56 am
In the accompanying press release, FINRA described the move as "temporary" so that it could "further consider whether modifications to the filing are appropriate. [read post]
16 Sep 2016, 6:45 am
(FINRA No. 2015044785301). [read post]
4 Mar 2014, 6:06 am
Further, FINRA found that Royal Securities failed to establish and maintain a supervisory system and training regarding the sale of Non-Traditional ETFs that was reasonably designed to comply with FINRA rules. [read post]
18 Jan 2010, 5:14 pm
John Edward Mullins allegedly began to misuse the funds of his client, Esther Weil, after she became ill in April 2006 and needed 24-hour nursing care, Finra said in a statement. [read post]
18 Aug 2015, 6:24 am
FINRA launched an investigation into claims that Whitley recommended unsuitable investments to customers. [read post]
18 Jun 2015, 12:37 pm
A copy of the FINRA Complaint may be found here. [read post]
18 Nov 2009, 2:36 pm
The FINRA press release states disclosure records for former brokers will be available on BrokerCheck beginning November 30. [read post]
16 Mar 2020, 8:49 am
SEC, a FINRA lifetime expulsion is "punitive" and hence not an appropriate FINRA sanction.The issue has been gradually clearing its path through the courts. [read post]
5 May 2017, 8:19 am
Carasick worked at FINRA for 18 years and dealt with over 400 disciplinary cases relating to almost feature of FINRA and SEC regulations. [read post]
5 May 2017, 8:19 am
Carasick worked at FINRA for 18 years and dealt with over 400 disciplinary cases relating to almost feature of FINRA and SEC regulations. [read post]
16 Jan 2018, 2:31 pm
On January 8, 2018, the Financial Markets Regulatory Authority (“FINRA“) published its 2018 Regulatory and Examination Priorities Letter which identifies topics that FINRA will focus on in the coming year. [read post]
22 May 2015, 1:55 am
Since 1993, FINRA has maintained and published “Sanction Guidelines” setting forth common securities rule violations and the range of disciplinary actions FINRA can issue for such violations, including monetary fines as well as suspensions, bars from the industry and other sanctions. [read post]
16 Jul 2012, 2:20 pm
FINRA Issues Investor Alert Concerning Exchange Traded Notes [read post]
7 Mar 2014, 7:47 am
LCFB Rule 14-09 would continue to subject an LCFB firm to the FINRA bylaws as well as core FINRA rules that FINRA believes should apply to all firms. [read post]
26 May 2015, 9:59 am
This activity, according to FINRA, caused a rapid loss of account equity. [read post]
16 Sep 2014, 7:15 am
FINRA also found that Diaz was fired or permitted to resign by six of the eleven member firms with which he was registered for. [read post]
29 Jan 2014, 10:02 am
According to FINRA, Diaz personally invested $800,000 in Marca. [read post]
