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17 Dec 2020, 8:59 pm
SunTrust and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on May 18, 2020, over allegations that between January 2015 and January 2018, SunTrust violated FINRA rules. [read post]
14 Sep 2021, 8:13 am
The post Gregg Breitbart, Gara Seagraves, present“FINRA Hot Topics: A View From the Field” at 2021 IBDC Annual Conference appeared first on Kaufman Dolowich Voluck LLP. [read post]
5 Nov 2021, 12:59 am
As stated in an email to FINRA staff, Shafer acknowledges that he received the request and he will not appear for on-the-record testimony at any time, in violation of FINRA Rules. [read post]
5 Nov 2021, 12:59 am
As stated in an email to FINRA staff, Shafer acknowledges that he received the request and he will not appear for on-the-record testimony at any time, in violation of FINRA Rules. [read post]
5 Nov 2021, 12:59 am
As stated in an email to FINRA staff, Shafer acknowledges that he received the request and he will not appear for on-the-record testimony at any time, in violation of FINRA Rules. [read post]
26 Apr 2010, 4:48 am
FINRA Provides Due Diligence Guidance for Regulation D Offerings Last week, FINRA issued Regulatory Notice 10-22 to provide guidance to broker-dealers regarding the conduct of due diligence in Regulation D private placements. [read post]
19 Jan 2016, 2:22 am
Good question… FINRA Question 14(A)(1) of the U4 is very clear. [read post]
5 Oct 2011, 4:11 pm
FINRA's alert focuses on publicly registered non-exchange traded, or simply non-traded REITs. [read post]
6 May 2010, 5:56 am
On April 20, 2010, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-22 reminding broker-dealers of their obligation to conduct reasonable due diligence investigations of issuers in PIPEs and other private placements. [read post]
6 May 2010, 5:56 am
On April 20, 2010, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-22 reminding broker-dealers of their obligation to conduct reasonable due diligence investigations of issuers in PIPEs and other private placements. [read post]
21 Mar 2008, 9:28 am
"Reverse mortgages are an extremely costly way to fund an investment," said FINRA CEO Mary Schapiro. [read post]
28 Sep 2014, 5:43 am
FINRA also explained that Mr. [read post]
14 Jan 2014, 6:43 am
According to FINRA, the couple invested $95,000 in Diversified LPs 2 and 4 representing approximately 79% of their liquid net worth. [read post]
18 Mar 2015, 4:05 pm
It appears that a number of other investors have filed complaints with FINRA as well. [read post]
9 Sep 2016, 7:51 am
The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
11 Dec 2015, 2:23 pm
For the full FINRA findings, see case #2012030675901. [read post]
29 Oct 2012, 12:12 pm
FINRA said that NEXT failed to perform adequate due diligence even though NEXT did review the private placement memorandum. [read post]
6 Jan 2021, 8:26 am
While the violations generally occurred in the past six years, some remained ongoing according to FINRA. [read post]
22 Apr 2010, 6:08 pm
In response, the Financial Industry Regulatory Authority (FINRA) has published new guidance for FINRA-registered firms about their obligations when it comes to customer suitability, disclosures and other requirements for selling private placements to customers. [read post]
15 Jun 2016, 6:18 am
Consider this recent FINRA regulatory settlement.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, Gregory Edward Barr sub... [read post]
