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20 Sep 2011, 2:02 pm
The Financial Industry Regulatory Authority (FINRA) recently announced it has fined Pointe Capital, Inc. [read post]
14 Jul 2010, 1:30 pm
Financial Industry Regulatory Authority (FINRA) yesterday announced an expansion in the amount of information that will be available to the public regarding current and former security brokers through its online BrokerCheck service. [read post]
6 Feb 2011, 8:20 am
The Securities and Exchange Commission (SEC) was the moving party (plaintiff) in the FINRA arbitration which resolved in 2011. [read post]
16 May 2014, 6:39 am
FINRA is floating some new ideas. [read post]
29 Oct 2015, 7:07 am
In concluding this settlement, Santander neither admitted nor denied the charges, but consented to the entry of FINRA's findings. [read post]
4 Feb 2011, 1:15 pm
The Financial Industry Regulatory Authority (FINRA) is examining sales of opaque and illiquid private investments with a critical eye, according to Bruce Kelly [read post]
13 Apr 2020, 11:29 am
” FINRA Rule 4511 states: “(a) Members shall make and preserve books and records as required under the FINRA rules, the Exchange Act and the applicable Exchange Act rules; (b) Members shall preserve for a period of at least six years those FINRA books and records for which there is no specified period under the FINRA rules or applicable Exchange Act rules; and (c) All books and records required to be made pursuant to the FINRA rules shall be… [read post]
23 Jan 2024, 12:05 pm
The post FINRA Files Disciplinary Proceeding Against Broker Stewart Ginn After Churning Allegations appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Oct 2014, 5:33 am
Thus, FINRA found that the actual number of penny stock transactions and Feltl’s total penny stock related revenue were unknown. [read post]
30 Nov 2018, 2:39 pm
Legend Securities Ordered to Pay Client For Churning His Funds A Financial Industry Regulatory Authority (FINRA) panel has awarded Herbert W. [read post]
15 Aug 2010, 9:49 am
As pointed out by Reuters, however, “FINRA is not known for handing out stiff penalties. [read post]
6 May 2015, 6:47 am
FINRA also alleged that Balsamo failed to provide testimony requested by FINRA staff. [read post]
26 Feb 2015, 6:39 am
Campbell first became registered with FINRA in 1994. [read post]
14 Dec 2011, 1:53 pm
Investors who have suffered losses investing with Robert Van Zandt, Kimmarie Van Zandt, and Van Zandt Agency may be able to recover their losses through FINRA arbitration. [read post]
14 Sep 2017, 9:27 am
Esteva neither admitted to nor denied any of its findings, according to FINRA. [read post]
4 Sep 2015, 4:47 am
Under the FINRA rules, a brokerage firm owes a duty to properly monitor and supervise its employees in order to detect and prevent brokers from offering investments in this fashion. [read post]
FINRA arbitration filed against Questar Capital and Centaurus Financial to recover investment losses
9 Feb 2015, 10:56 am
FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
19 Jul 2012, 6:45 am
Finra alleged that Fidelity’s two broker-dealers, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Co. [read post]
19 Jul 2012, 6:45 am
Finra alleged that Fidelity’s two broker-dealers, Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Co. [read post]
16 Feb 2015, 9:05 am
Felt derives revenue from securities commissions, underwriting, and investment company activity and has been a FINRA member since 1975. [read post]
