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20 Jan 2020, 5:25 am
”Previous Reports and SimilaritiesThe research proved that 32% of the country invested in non-retirement accounts, a rise of only 2% from a synonymous FINRA survey executed in 2015. [read post]
13 Aug 2014, 6:42 am
FINRA determined that despite the risks associated with holding Non-Traditional ETFs for longer periods, numerous Salomon Whitney customers held Non-Traditional ETFs for extended time periods during the period examined by FINRA. [read post]
24 Nov 2020, 8:49 am
FINRA issued a three-month suspension and a $5,000 fine to Luna, lasting until 9/14/2020. [read post]
1 Nov 2019, 7:30 am
The post FINRA Suspends & Fines Former JMP Securities Analyst appeared first on The White Law Group. [read post]
26 Jun 2017, 1:05 pm
Free Consultation This information which is publicly available on FINRA’s website has been provided by The White Law Group. [read post]
26 Jun 2017, 1:05 pm
Free Consultation This information which is publicly available on FINRA’s website has been provided by The White Law Group. [read post]
23 Oct 2010, 12:44 pm
It is now FINRA. [read post]
12 Jan 2018, 11:46 am
Where such assets are securities or where an ICO involves the offer and sale of securities, FINRA may review the mechanisms—for example, supervisory, compliance and operational infrastructure—firms have put in place to ensure compliance with relevant federal securities laws and regulations and FINRA rules. [read post]
23 Mar 2015, 4:17 am
Consider this recent FINRA AWC settlement in which a registered person is suspended by the self-regulator in 2015 for a 2011 loan made by a friend. [read post]
30 Jan 2020, 12:46 am
That may only be the start of the Respondent's ordeal.Case in PointIn a FINRA Arbitration Statement of Claim filed in September 2019, FINRA member firm Claimant Oppenheime... [read post]
28 Nov 2017, 8:09 am
As set forth in the FINRA Arbitration Decision:unnamed party Mr. [read post]
26 Aug 2017, 12:51 pm
There are lots of aspects of this FINRA arbitration that should catch the eye of both lawyers and industry participants. [read post]
14 Mar 2016, 3:54 am
To his detractors, Bill is a pain-in-the-ass gadfly who simply harps about everything and anything FINRA does or doesn't do. [read post]
5 Jul 2017, 6:42 am
Readers of the BrokeAndBroker.com Blog know that publisher Bill Singer, Esq. has written about this aspect of FINRA's published decisions and settlements before -- some might even say ad nauseum. [read post]
26 Jun 2014, 3:01 am
Pinnell submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
7 Nov 2016, 3:35 am
Under the direction of new Chief Executive Officer Robert Cook, FINRA seems to have a veteran hand on the helm and thi... [read post]
9 Mar 2018, 6:11 am
Disturbing in that FINRA member firms seem all too willing to take on what we will euphemistically call "baggage. [read post]
18 Oct 2016, 5:03 am
Today, Bill is very frustrated with an intra-industry FINRA arbitration. [read post]
23 Sep 2013, 4:15 am
LaRosa, Jr. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
6 Jan 2014, 3:13 am
Given those personality quirks of mine, I found the Financial Industry Regulatory Authority ("FINRA") arbitration discussed in today's BrokeAndBroker Blog to be interesting for three reasons:there’s the whole issue of whether Respondent Pan Interactive Brokers refused to execute a trade;there’s the even more intriguing question of whether the Respondent erroneously liquidated calls instead of puts; and,finally, how could you not be intrigued when the demanded damages in… [read post]
