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25 Jan 2018, 7:21 am
FINRA Awards $4 Million to Investors According to The Financial Industry Regulatory Authority yesterday, FINRA arbitrators awarded more than $4 million to a group of investors for risky, unsuitable investments reportedly recommended by their broker, Anthony Diaz. [read post]
3 Jun 2017, 11:55 am
FINRA bars former Morgan Stanley broker over $190M Venezuela bond trades"A former Morgan Stanley broker who had been one of the largest producers in the firm’s New York branch has been banned from the industry under a settlement with FINRA.John Batista Bocchino secretly made 300 Venezuelan currency bond trades worth $190 million after the firm forbade such transactions out of concerns about money laundering, according to FINRA.The regulator announced settlements this week with… [read post]
13 Sep 2016, 12:00 am
In a recent investor alert, the Financial Industry Regulatory Authority (FINRA) issued an Investor Alert warning investors of the problems associated with non-traded Real Estate Investment Trusts (REIT’s). [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
29 Nov 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) has fined Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC $3.4 Million as required restitution relative to unsuitable recommendations involving volatility-linked Exchange Traded Products (ETP’s) and related supervisory failures related to these investments. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
18 Nov 2014, 8:46 am
Meanwhile, proposed Rule 4580 would require covered FINRA members engaging in distribution and solicitation activities with a government entity on behalf of any investment adviser to maintain specified records that could be examined by FINRA for compliance with the obligations of proposed Rules 2390 and 2271. [read post]
15 Mar 2015, 7:16 am
Finally, FINRA alleged that Fulco failed to timely disclose to FINRA a lien and civil judgment entered against him. [read post]
26 Mar 2015, 9:26 am
” FINRA Rule 8210 authorizes FINRA to require persons associated with a FINRA member to provide information with respect to any matter involved in the investigation. [read post]
13 Feb 2015, 6:50 am
The FINRA rules require that all brokers report securities transactions to their employer. [read post]
9 Feb 2016, 9:08 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
16 Sep 2015, 6:04 am
The broker must first discuss all trades with the investor before executing them under NYSE Rule 408(a) and FINRA Rules 2510(b). [read post]
11 Sep 2019, 12:17 pm
We represent investors in FINRA arbitration claims in all 50 states, including Nevada. [read post]
11 Jul 2017, 1:44 pm
For FINRA’s full findings FINRA Case #2013039024401. [read post]
10 Apr 2015, 5:42 am
Why would the industry like to be able to escape FINRA arbitration in a large and complex case? [read post]
4 Mar 2016, 2:57 pm
Winston Wade Turner, formerly a registered broker with MetLife and Pruco Securities, has been accused by the Financial Industry Regulatory Authority (FINRA) of deceptive sales practices involving variable annuities. [read post]
