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25 Jul 2018, 7:28 am
This information is publicly available on FINRA’s website and provided to you by The White Law Group. [read post]
31 Mar 2016, 12:10 pm
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Robert Cross (Cross) (FINRA No. 2014041637201) of Rome, Georgia. [read post]
30 Mar 2017, 4:55 pm
FINRA Denies Expungement Request of Ex-Broker Kathleen J. [read post]
5 Mar 2021, 11:37 am
FINRA sanctioned Mr. [read post]
7 Sep 2007, 9:46 am
(FINRA News Release 9/5/07). [read post]
7 Oct 2016, 8:33 am
According to reports, if given the chance to talk to the new Finra chief Robert W. [read post]
22 May 2012, 4:54 am
FINRA?) [read post]
13 Nov 2007, 8:15 am
The first time FINRA received the data, FINRA says it knew the information was "flawed" and notified Oppenheimer immediately. [read post]
29 Nov 2011, 6:19 am
In January 2011, FINRA proposed to amend Rule 5122 (“Private Placements of Securities Issued by Members”) so that its disclosure and filing requirements, which currently apply only to private placements of securities issued by a FINRA member or a “control entity” of a member, would apply to all private placements, including those of unaffiliated issuers, covered by the rule. [1] On October 18, 2011 and in response to comments on the January proposal,… [read post]
22 Jun 2017, 6:40 am
Ayrton Pierce Haddad (CRD #6125741) Naples, Florida FINRA Case #2016051413301 Following Haddad’s voluntary resignation from E*Trade in August 2016 he admitted signing a customer’s name to an account transfer from and initialing a change on the account transfer from without the customer’s knowledge or consent, contrary to firm procedures. [read post]
3 Apr 2017, 6:41 am
The FINRA panel awarded Mr. [read post]
28 Jul 2009, 12:34 pm
On July 28, 2009, FINRA fined two broker-dealers for failures to supervise which resulted in the unsuitable short-term sales of closed-end funds ("CEF") purchased at the funds’ IPO. [read post]
11 Feb 2019, 11:02 am
Specifically, of the more than 7,700 arbitrators available through FINRA, around 70% of them are male and most are white. [read post]
31 Mar 2017, 10:44 am
The post FINRA Orders UBS to Pay $505,000 over Puerto Rico Bond Fund Losses appeared first on White Securities Law. [read post]
27 Jan 2015, 5:58 am
In this way FINRA found that Sigma Financial did not conduct adequate supervision of those non-preferred vendor websites. [read post]
28 Feb 2013, 11:58 am
In a thoughtful 48-page decision, a FINRA hearing panel on Thursday, February 21, 2013 followed the U.S. [read post]
10 Dec 2014, 3:03 pm
When brokers bend the rules and fail to follow FINRA’s regulations, they can be held liable for investment losses. [read post]
9 Jul 2019, 1:19 pm
In doing so, the Staffs of the SEC’s Division of Trading and Markets and of FINRA’s Office of General Counsel made clear that the SEC and FINRA will continue to apply the existing regulatory framework to the rapidly evolving world of digital assets. [read post]
9 Jul 2019, 1:19 pm
In doing so, the Staffs of the SEC’s Division of Trading and Markets and of FINRA’s Office of General Counsel made clear that the SEC and FINRA will continue to apply the existing regulatory framework to the rapidly evolving world of digital assets. [read post]
9 Jul 2012, 7:23 am
The rule was written by the Financial Industry Regulatory (FINRA), and is called the Know-Your-Customer Rule, or FINRA Rule 2090; a companion piece to the rule is FINRA Rule 2111. [read post]
