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15 Jan 2021, 8:08 am
Consider a recent FINRA regulatory settlement for what prompted my latest round of intellectual endeavors.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication ... [read post]
15 Jan 2021, 8:08 am
Scarfone, Respondent (FINRA AWC)A Hard Rain Falls On A Shattered Nation (BrokeAndBroker.com Blog)... [read post]
15 Jan 2021, 7:35 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
14 Jan 2021, 4:14 pm
On January 13, 2021, FINRA accepted Mr. [read post]
14 Jan 2021, 3:06 pm
Withheld from potential investors the fact that Lisser had previously worked for five broker-dealers that had been de-registered by FINRA for “various rule violations,” and used the name “Mark Allen” in order to prevent investors from looking up Lisser’s background. [read post]
14 Jan 2021, 2:27 pm
Customer in Layton, Utah Filed FINRA Arbitration Complaint About REITs and BDCs appeared first on Securities Arbitration Lawyer Blog. [read post]
14 Jan 2021, 12:09 pm
Interactive Brokers LLC (money laundering, failure to file SARs) – Brokerage firm Interactive Brokers agreed to pay $23.7 million to the SEC and CFTC, as well as a $15 million penalty to the Financial Industry Regulatory Authority (FINRA), to resolve allegations related to the firm’s anti-money laundering policies. [read post]
14 Jan 2021, 8:43 am
They must ensure they are complying with FINRA rules. [read post]
14 Jan 2021, 7:15 am
The Financial Industry Regulatory Authority (“FINRA”) has barred financial advisor Ryan Ashley Raskin from the securities industry. [read post]
13 Jan 2021, 1:06 pm
The Financial Industry Regulatory Authority (“FINRA”) has suspended financial advisor Arthur Obermeier from the securities industry for 60 days and fined him $5,000. [read post]
13 Jan 2021, 12:14 pm
FINRA has barred stockbroker Christopher B. [read post]
13 Jan 2021, 9:25 am
They must ensure they are complying with FINRA rules. [read post]
13 Jan 2021, 9:22 am
Fined $350,000 by FINRA Over Variable Annuity Supervisory Violations appeared first on Securities Arbitration Lawyer Blog. [read post]
13 Jan 2021, 9:05 am
We are comprised of former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors, and are experienced at managing every stage of complex regulatory investigations. [read post]
13 Jan 2021, 7:01 am
The customer requested damages of $100,000.00 FINRA Case No. 20-01095. [read post]
13 Jan 2021, 6:18 am
” Without admitting or denying the allegations, Cetera recently signed a FINRA letter of Acceptance, Waiver, and Consent and agreed to FINRA’s sanctions, which included a censure and an agreement that they would review and revise, as necessary, systems, policies and procedures related to the supervision of dually-registered reps’ securities transactions, according to ThinkAdvisor.com. [read post]
13 Jan 2021, 6:06 am
Under a relatively new rule from FINRA, the securities industry regulator, older investors may garner somewhat more protection from unscrupulous advisors and brokers. [read post]
12 Jan 2021, 1:42 pm
In September of 2018, Financial Industry Regulatory Authority (FINRA) released information about a dispute between Mr. [read post]
12 Jan 2021, 12:39 pm
Morgan Stanley is headquartered in Purchase, New York, and has been a FINRA member firm since May 2009. [read post]
12 Jan 2021, 11:00 am
Securities and Exchange Commission closed its case against a former Morgan Stanley broker who served prison time, barring him from the securities industry after ensuring that he has repaid more than $5.1 million stolen from customers, according to FINRA. [read post]
