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11 Jun 2014, 8:45 am
In fact, FINRA determined that the IT department failed to notify the CFN’s legal and compliance departments. [read post]
2 Aug 2017, 6:45 am
The fines were assessed between May and July 2017, according to FINRA. [read post]
10 Jan 2014, 6:04 am
FINRA found that Thomas’ conduct violated FINRA Rules 2150(b) and 2010. [read post]
22 Sep 2015, 9:35 am
– FINRA # 13-02861, click here. [read post]
20 Jul 2011, 1:35 pm
Portes (CRD #4995542) following FINRA disciplinary action. [read post]
25 Oct 2011, 4:33 am
FINRA says differently. [read post]
22 Aug 2016, 2:23 pm
It was reported by Reuters on August 20, 2016 that the Financial Industry Regulatory Authority (FINRA) filed a complaint against a broker alleging that they broker engaged in unauthorized trading in the account of a senior aged investor. [read post]
1 Feb 2016, 2:22 pm
Prior to that time, in January 2015, FINRA opened an investigation into Zeltser alleging potential willful violations of securities fraud laws and FINRA rules. [read post]
20 Dec 2021, 9:58 am
FINRA’s action is its final one in its targeted probe into the sale of UITs. [read post]
4 Feb 2022, 10:15 am
Her ex-NPB Financial broker, who had recommended this risky investment vehicle, has since been barred by FINRA. [read post]
20 Sep 2011, 1:55 pm
Financial services firms have taken notice of FINRA’s action related to Apple REITs, which charged that there have been misleading and “outsized distributions of 7% to 8% by leveraging the REITs through borrowing and returning capital to investors. [read post]
7 Jun 2010, 7:22 pm
Related Web Resources: FINRA Fines Piper Jaffray $700,000 for Email Retention Violations, Related Disclosure, Supervisory and Reporting Violations, FINRA, May 24, 2010 Retention issue: Finra fines Piper Jaffray over e-mail archiving, Investment News, May 25, 2010 Read the Letter of Acceptance (PDF) [read post]
2 Jul 2015, 7:37 am
FINRA guidance and PAGA claim. [read post]
14 Oct 2013, 5:53 am
FINRA has barred broker Daniel P. [read post]
30 Oct 2012, 7:25 am
The United States District Court for the Northern District of Georgia has upheld a $520,283 FINRA Arbitration Award rendered against Merrill Lynch Fenner & Smith Inc. [read post]
14 May 2015, 2:14 pm
On May 12, the SEC and FINRA announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. [read post]
13 Jul 2007, 11:10 am
With today's announcement the name has been changed to FINRA. [read post]
29 Jun 2016, 11:29 am
According to FINRA BrokerCheck, Mr. [read post]
15 Jul 2015, 6:14 am
Tanner became a broker with a FINRA firm in 1969. [read post]
18 May 2015, 7:03 am
Miller became a broker with a FINRA firm in 1997. [read post]
