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25 Oct 2012, 3:40 pm
In a recent decision of the FINRA Regulatory Authority (FINRA), Andrey V. [read post]
3 Nov 2016, 7:20 am
Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules and they can held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
29 Aug 2011, 5:00 am
Sources: FINRA Regualtory Notice 11-39 (.pdf – 8 pages) FINRA Regulatory Notice 10-06 FINRA Issues Guidance on Social Networking Sites – prior post on Compliance Building [read post]
18 Jun 2021, 11:54 am
Giovannelli attempted to conceal the unauthorized trades from FINRA and testified falsely at his on-the-record interview. [read post]
30 Jan 2019, 2:11 pm
FINRA’s recommendations focus on employee training and technical controls. [read post]
26 Jul 2018, 6:50 am
This information is publicly available on FINRA’s website and provided to you by The White Law Group. [read post]
10 Apr 2018, 2:20 pm
The post FINRA Award: UBS & Broker Michael J. [read post]
13 Jul 2017, 5:43 am
The post FINRA Censures & Fines State Street $1.5 million appeared first on White Securities Law. [read post]
25 Nov 2013, 6:19 am
Under FINRA Rule 3010, a brokerage firm owes a duty to properly monitor and supervise its employees. [read post]
24 Feb 2017, 10:48 am
Blum Law Group, along with Place and Hanley, LLC is pleased to report a FINRA Arbitration Award against UBS Financial Services of Puerto Rico relating to the crash of UBS closed end bond funds in 2013 which were sold to Puerto Rico residents. [read post]
27 Feb 2022, 11:32 am
Continue reading The post FAQ – Liquidation of Investment Funds – South Florida FINRA Arbitration and Commercial Litigation Attorney appeared first on South Florida Arbitration & Litigation Lawyer Blog. [read post]
27 Jan 2020, 4:46 am
Continue reading The post Reading and Understanding Your Margin Agreement – South and Central Florida FINRA Arbitration Attorney appeared first on South Florida Arbitration & Litigation Lawyer Blog. [read post]
19 Dec 2018, 12:04 pm
We start off with an arbitration complaint filed by FINRA member firm Scottsdale Capital Advisors against a former registered representative. [read post]
9 Jul 2021, 12:50 pm
Case In PointIn a FINRA Arbitration Statement of Claim filed in January 2021 and as amended, associated person Claimant Hook alleged that F... [read post]
14 Nov 2014, 3:04 am
In 2013, for example, the BrokeAndBroker.com Blog reported about a lawsuit involving disclosures of a FINRA arbitrator, who was a lawyer and had been indicted for the unauthorized practice of law and was the subject of two complaints filed with the Attorney Discipline Board for the State of Michigan in Ap... [read post]
14 Apr 2011, 10:40 am
The Award includes $17 million in punitive damages and $3 million in legal fees, despite severe limits on the ability to garner punitives and fees in FINRA arbitrations. [read post]
4 Jun 2013, 7:48 am
If you suffered losses in a floating-rate bank loan fund, you may be able to recover your losses through a FINRA arbitration claim. [read post]
23 Jan 2020, 1:53 pm
FINRA & SEC Warnings about Cyber-ThreatsAt the Financial Industry Regulatory Authority (FINRA) cyber-security conference in New York, FINRA, the Securities and Exchange Commission (SEC), and the National Futures Association stated that cyber threats on numerous fronts, including but not limited to external phishing and ransom-ware assault and resentful ex-staffs and poor security control have persisted in brokerage firms.Salvator Montemarano, one of the inspectors in… [read post]
17 Feb 2010, 7:13 pm
This is FINRA’s first enforcement action over RCN sales. [read post]
5 Nov 2009, 6:41 am
FINRA’s rules-based regulatory approach and focus, while fine for the brokerage community, is not readily adaptable to advisers. [read post]
