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23 Jan 2021, 12:01 pm
There was a bigger problem at LPL, though: FINRA claims that LPL’s recordkeeping system failed to report millions of customer communications. [read post]
22 Jan 2021, 2:06 pm
As a result of the alleged misconduct, Magill has been barred from associating with any FINRA member firm in all capacities. [read post]
22 Jan 2021, 2:06 pm
As a result of the alleged misconduct, Magill has been barred from associating with any FINRA member firm in all capacities. [read post]
22 Jan 2021, 1:07 pm
It’s a violation of securities laws and FINRA rules. [read post]
22 Jan 2021, 1:00 pm
The Parking REIT was been sold by MVP American Securities, a formerly FINRA-registered brokerage firm. [read post]
22 Jan 2021, 12:24 pm
All registered brokers and broker-dealers are expected to follow ethics guidelines of the Financial Industry Regulatory Agency (FINRA), the investment industry’s regulatory organization. [read post]
22 Jan 2021, 12:13 pm
This case went into FINRA arbitration. [read post]
22 Jan 2021, 12:05 pm
Unsuitable investment recommendations is a common cause for investors making FINRA arbitration claims. [read post]
22 Jan 2021, 11:51 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
22 Jan 2021, 11:43 am
Miller left the firm more than a year before the firm was expelled by FINRA for misleading advertising and failing to establish and maintain a supervisory system. [read post]
22 Jan 2021, 11:28 am
He acknowledged the receipt of FINRA’s document requests. [read post]
22 Jan 2021, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms pledge to… [read post]
22 Jan 2021, 10:53 am
FINRA says that there... [read post]
22 Jan 2021, 10:53 am
FINRA Appoints Scott W. [read post]
22 Jan 2021, 10:53 am
Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5656/finra-merrill-lynch-expungement/Imagine the plight of an associated person, who is accused of the unauthorized opening of a bank account for a client. [read post]
22 Jan 2021, 10:53 am
Legal experts weigh in (Marketwatch by Mark DeCambre and Andrew Keshner)FINRA Censures and Fines Goldman Sachs For Fingerprinting FailuresIn the Matter of Goldman Sachs & Co. [read post]
22 Jan 2021, 10:53 am
Giuliani, Defendant (Complaint)Justice Department and FTC Announce First Enforcement Actions for Violations of the Better Online Ticket Sales Act / Three Settlements Impose Millions of Dollars in Civil Penalties and Injunctive Terms (DOJ Release)'Money Mule' indicted for mail fraud in scheme that stole more than $400,000 from elderly victims / Co-conspirators impersonated government agents claiming Social Security numbers had been compromised (DOJ Release)Swampscott Man Charged with Bank… [read post]
22 Jan 2021, 8:35 am
FINRA has barred stockbroker Gary Wayne Hammond from the securities industry. [read post]
22 Jan 2021, 8:30 am
Both suits have reportedly settled, according to FINRA. [read post]
22 Jan 2021, 7:56 am
In May 2020, the SEC issued an order directing the exchanges and FINRA to draft a new national market system plan (NMS plan) with a modernized governance structure for the production of public consolidated equity market data and the dissemination of trade and quote data from trading venues. [read post]
