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9 Oct 2015, 10:37 am
Consider a recent FINRA disciplinary proceeding against a member firm and its Chief Executive Officer/ Chief Compliance Officer:Case In PointIn FINRA Department of Enforcement, Complainant, v. [read post]
12 Jun 2014, 5:47 am
In recent years, the Financial Industry Regulatory Authority (“FINRA”) has been on a tear about due diligence and the failure to supervise; and, frankly, you can't blame the self-regulatory organization given the recent history of disasters involving both of those issues. [read post]
18 Apr 2017, 9:29 am
Today's BrokeAndBroker.com Blog visits a FINRA work-site and we watch the regulators' bricklayers mix the mortar that seals the fate of one registered representative.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying... [read post]
31 May 2018, 1:49 pm
Perhaps figuring he had several cat lives left, our contestant lied to FINRA and then lied to that regulator again. [read post]
14 Jun 2016, 11:01 am
The question arises, however, as to why FINRA's larger member firms only seem to get fined for ... [read post]
29 Apr 2022, 12:40 pm
In a recent FINRA regulatory settlement, we are presented with full-blown humanity and very little divinity.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 hear... [read post]
12 Mar 2021, 11:31 am
To be clear, that tab was not presented by a restaurant but in the form of a fine by FINRA, and the mandatory gratuity was a nine-month suspension. [read post]
2 Jan 2015, 4:56 am
In this first such case of 2015, we find the old combo of liens and judgments, and, for good measure, an added dose of willfulness.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 of any issue, Scott Cameron Nicol submitted a Letter of Acceptance, Waiver and Consent (“AWC”),… [read post]
15 Mar 2018, 6:43 am
A recent FINRA Arbitration answers some of those nagging questions. [read post]
22 Aug 2021, 6:49 am
A recent FINRA AWC regulatory settlement looks like a case where an employer threw an employee under the bus, and the regulator gunned the engine and drove over him with relish and delight. [read post]
20 Jun 2018, 8:18 am
In the game of chess, there's that "Touch-Move" rule that says that once you touch your piece, you must move it and no amount of begging, pleading, or arguing allows you to take the move back.After a Respondent had signed on the dotted line of a FINRA Acceptance, Waiver and Consent settlement, he had second thoughts -- or, as he would argue, FINRA reneged on the understanding that he and the regulator had entered into. [read post]
11 Sep 2015, 9:21 am
As demonstrated in a recent FINRA settlement with UBS, the failure to recognize the change in a daily download protocol could go unnoticed for years with dramatic consequences. [read post]
22 Feb 2017, 5:12 am
As such, today's BrokeAndBroker.com Blog highlights a recent FINRA regulatory settlement involving one registered person's violation of consumer data policies.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 of any issue, Arturo Fernando Alcocer Romo submitted a Letter of… [read post]
10 Dec 2015, 8:53 am
As a recent FINRA intra-industry arbitration shows, the boiling point may be quickly reached. [read post]
5 May 2016, 8:02 am
This is an update of "Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case" (BrokeAndBroker.com Blog, March 28, 2016)Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization (“SRO”) the Financial Industry Regulatory Authority (“FINRA”). [read post]
23 Jul 2021, 12:55 pm
And thus we begin the tale of a recent public customer's FINRA Arbitration.Case in PointIn a FINRA Arbitration Statement of Claim filed in February 2021, public customer Claimant Eldereiny asserted breach of ... [read post]
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]
26 May 2015, 2:13 am
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 of any issue, Adam Robert Bollinger submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
20 May 2014, 3:07 am
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 of any issue, Nicole Elise Holten submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 May 2014, 1:35 am
The cost of doing business on Wall Street explains why the total number of FINRA member firms has plummed in recent years. [read post]
