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5 Mar 2008, 5:05 am
FINRA won at the trial level, but on appeal, the victory goes to Fiero. [read post]
17 Apr 2020, 3:08 pm
(CFLP), which is not a member of FINRA. [read post]
7 May 2018, 1:08 pm
LeVine is currently not registered with any FINRA member. [read post]
10 Sep 2018, 12:27 pm
Stoltmann Law Offices continue to investigate Securities America, after it was fined $175,000 by FINRA. [read post]
12 Aug 2011, 12:25 pm
The SEC has approved FINRA’s proposal to adopt additional regulations to the FINRA rulebook. [read post]
21 Jul 2020, 9:48 am
AI Applications Continue reading › The post FINRA ISSUES REPORT ON ARTIFICIAL INTELLIGENCE IN THE SECURITIES INDUSTRY appeared first on FINRA Lawyer Blog. [read post]
1 Dec 2011, 11:44 pm
On November 11, 2011, Brian blogged about the fact a great deal of uncertainity (and delay) had entered the FINRA Rule 6490 process and that more was unknown about the FINRA review process than was known. [read post]
21 Jun 2024, 8:26 am
FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial advisor. [read post]
10 Jul 2010, 9:42 am
By comparison, FINRA saw $28 million in fines from 1,007 actions in 2008. [read post]
1 Feb 2013, 7:00 am
This is a significant opening for FINRA. [read post]
13 Dec 2018, 9:14 am
(FINRA Case #2016050114701) Akhil Morada (CRD #4859707, Miami, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Morada was assessed a deferred fine of $15,000, suspended from association with any FINRA member in all capacities for 12 months and ordered to pay $55,555.56, plus interest, in deferred restitution to customers. [read post]
7 Jun 2023, 9:55 am
The post Is the Great FINRA Purge Coming? [read post]
25 Oct 2018, 6:49 am
(FINRA Case #2016049321301) Terry Lee McCoy (CRD #1476696, New Port Richey, Florida) – An AWC (Accept, Waiver, & Consent) was issued in which McCoy was assessed a deferred fine of $75,000 and barred from association with any FINRA member in any principal capacity. [read post]
9 Apr 2019, 11:48 am
The post FINRA Expungement Proceedings appeared first on Samuels Yoelin Kantor LLP.. [read post]
25 May 2018, 7:45 am
(FINRA Case #2015045703002) Mark Brian Degner (CRD #2364726, Shady Cove, Oregon) – An AWC (Accept, Waiver & Consent) was issued in which Degner was fined $7,500 and suspended from association with any FINRA member in all capacities for 20 business days. [read post]
24 Jan 2019, 7:44 am
(FINRA Case #2016048942501) Heather Xanthe VanLandingham (CRD #5343446, Odessa, Florida) – An AWC (Accept, Waiver & Consent) was issued in which VanLandingham was fined $5,000 and suspended from association with any FINRA member in all capacities for 20 business days. [read post]
22 Nov 2017, 6:06 am
(FINRA Case #2016051367201) Elaine Diones LaCerte (CRD #1536459, Colorado Springs, Colorado) – An AWC (Accept, Wavier & Consent) was issued in which LaCerte was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for six months. [read post]
24 Oct 2013, 6:32 pm
On October 23rd, FINRA proposed rules and forms relating to the funding portals, referred to as the Funding Portal Rules. [read post]
26 Apr 2018, 6:06 am
(FINRA Case #2015045518901) Larry Martin Boggs (CRD #1582741, Dallas, Texas)– An AWC (Accept, Waiver & Consent) was issued in which Boggs was barred from association with any FINRA member firm in all capacities. [read post]
23 Mar 2023, 8:53 am
Financial Industry Regulatory Authority, finra rule 2010, finra arbitration attorneys, FINRA rules, FINRA oversight The post FINRA Rule 3270 Outside Business Activities appeared first on The White Law Group. [read post]
