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15 Jun 2018, 10:51 am
Instead, as alleged in the FINRA pleading, Hector May had wires sent and checks written directly to Executive Compensation Planners; created fictitious statements; and pocketed client funds. [read post]
30 Dec 2019, 3:05 am
Last week, the SEC issued this notice to approve changes to FINRA Rule 5110. [read post]
31 Jan 2019, 1:24 pm
Fired Broker Barred by FINRA Following Allegations of Misusing Client Money Kristian Gaudet, a broker fired by Ameritas Investment Corp. in December, is now barred from the industry by FINRA. [read post]
18 Oct 2017, 10:07 am
" If you ask five regulatory lawyers, you'll get ten different opinions at $750 an hour (cash only and we'd like two forms of photo ID).Thus, the stage is set for today's BrokeAndBroker.com Blog consideration of FINRA's "Suitability Rule":FINRA Rule 2111: Su... [read post]
12 Jun 2009, 1:21 pm
FINRA, the financial industry's self-regulating watchdog, has proposed that the organization's central database for providing background checks on securities brokers be expanded to provide more information to both the investing public and prospective employers. [read post]
25 Jan 2012, 8:51 am
FINRA Dispute Resolution is an arbitration venue for securities employment disputes. [read post]
7 Oct 2009, 4:00 am
Read more about the pilot program at FINRA’s website: FINRA to Expand Program Evaluating All-Public Arbitration Panels. [read post]
2 Mar 2011, 8:45 am
SR-FINRA-2011-05, if approved after public comment, will expand the roster of FINRA arbitrators eligible to hear such matters by removing the current statutory discrimination claim qualification requirement. [read post]
1 Aug 2014, 7:12 am
As a result of FINRA’s investigation Wurdinger was suspended for six months. [read post]
30 Aug 2012, 9:00 pm
In FINRA Regulatory Notice 12-05 (Jan. 2012), the Financial Industry Regulatory Authority (FINRA) cited an increase in the number of reported cases of money stolen from customer accounts as a result of bogus e-mail instructions from e-mail accounts of customers, which had been hacked by scam artists. [read post]
29 Oct 2021, 11:44 am
Pearce, Respondent (FINRA AWC)FINRA Fines and Suspends Rep for Borrowing Through a Company He Partially OwnedIn the Matter of Brian Jerome Rice, Respondent (FINRA AWC)No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award? [read post]
16 Aug 2024, 7:38 am
The post Former American Trust Investment Services Broker David Geake Barred by FINRA appeared first on Securities Arbitration Lawyers Blog. [read post]
3 Jan 2011, 3:00 am
In my last post, I covered the adoption of FINRA Rule 3270 as the SRO's new rule on outside business activities, replacing the former NASD Rule 3030 and NYSE Rule 346. [read post]
21 Mar 2014, 9:49 am
Hernandez signed a Letter of Acceptance, Waiver and Consent (AWC) to settle the alleged rule violation with FINRA. [read post]
28 May 2019, 1:42 pm
(CRD#: 44952, expelled by FINRA on 4/17/2017), both of New York City, and National Securities Corporation (CRD#: 7569) of Iselin, NJ. [read post]
6 Mar 2018, 5:23 am
FINRA also reportedly ordered UBS-PR to pay approximately $11 million in restitution to 165 customers who suffered losses on their CEFs. [read post]
9 Jul 2020, 6:40 am
When deciding on whether to file an arbitration claim with FINRA, Malecki Law’s FINRA arbitration attorneys can help discuss the merits of your claims and frame them in what is known as a “Statement of Claim,” like a complaint pleading in court. [read post]
24 Apr 2019, 6:49 pm
Four FINRA Panels have issued awards thus far, all of them finding Credit Suisse terminated its advisers without cause and ordering it to pay deferred compensation. [read post]
23 Sep 2020, 2:00 pm
Continue Reading › The post FINRA Bars Ex-Newbridge Securities Broker Marshall Isaacson Following Unsuitability Claims appeared first on Investor Lawyers Blog. [read post]
16 Dec 2020, 12:39 pm
Stifel and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on May 27, 2020, over allegations that between January 2012 and December 2016, Stifel violated FINRA rules. [read post]
