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20 Sep 2017, 6:40 am
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, Sharo... [read post]
6 Nov 2017, 3:19 am
Then you got your five not-so-easy thought pieces about Wall Street employees representing themselves in FINRA arbitrations against their former employers. [read post]
23 Aug 2017, 6:52 am
In a recent Financial Industry Regulatory Authority ("FINRA") regulatory settlement, a stockbroker was barred from the industry as a result of allegedly failing to properly notify his employer and obtain its approval for soliciting firm customers to invest in his own company. [read post]
26 Jan 2019, 2:24 am
QA3 Financial Corp., Respondent (FINRA Arbitration Decision 18-02111 / Janua... [read post]
5 Jul 2013, 2:12 am
Respondent alleged that Claimant had failed to produce documents set forth in FINRA’s Document Production Lists. [read post]
16 Aug 2019, 8:00 am
Act I, Scene 1 of an intra-industry FINRA lawsuit.Case In PointIn a FINRA Arbitration Statemetn of Claim filed in June 2017, associated persons Claimants asserted breaches of oral, written and implied contract, fiduciary duty, and of the implied covenant of good faith and fa... [read post]
14 Jan 2018, 5:49 am
This is an update of "UPDATE: SEC Says No Mulligans For FINRA Settlements" (BrokeAndBroker.com Blog, November 29, 2017). [read post]
2 Aug 2016, 9:13 am
A FINRA member firm has its sights on a well-connected trader or top producer or dynamic manager -- fill in the blanks as you will. [read post]
5 Oct 2016, 9:44 am
I have long criticized the Financial Industry Regulatory Authority ("FINRA") as being illegitimate because it disenfranchises hundreds of thousands of registered representatives from voting on its rule proposals or for its elective offices (said voting franchise having been arrogated solely to the organization's member firms). [read post]
8 Jan 2019, 1:41 am
In today's featured FINRA regulatory settlement, a stockbroker is fined and suspended for introducing two acquaintances to a profitable real estate deal in Nepal. [read post]
30 Jul 2019, 9:28 am
I looked up all the official categories of representatives on FINRA's website and, go figure, there's nothing for a Chat Representative and there isn't even an examination that you can take to become one. [read post]
23 Dec 2021, 10:58 am
Way back in pre-Covid 2017, a disgruntled Schwab customer filed a FINRA Arbitration Statement of Claim complaining about the release of his records to the IRS. [read post]
23 Nov 2016, 12:32 am
Fonseca submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
2 Jan 2017, 2:52 am
We consider yet another Wall Street employment dispute that winds up as an intra-industry arbitration at FINRA. [read post]
26 Aug 2013, 8:58 am
Consider this recent FINRA intra-industry arbitration in which the sole Arbitrator is not one happy camper when it comes to some of the antics pulled by the parties and their counsel.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2012, Claimant BOSC alleged failure of consideration; breach of warranty; promissory estoppel; and unjust enrichment in connection with the termination of Respondents employment. [read post]
28 Nov 2019, 4:44 am
Case In PointIn a FINRA Arbitration Statement of Claim filed in February 2019, associated person Claimant Burns sought the expungement of allegedly inaccurate disclosur... [read post]
10 Feb 2014, 4:00 am
In a recent FINRA arbitration, a group of arbitrators expanded upon that theme when they found that industry respondents had "engaged in fraud and malice in the bad faith manner in which they defrauded Claimant." [read post]
2 Sep 2015, 7:38 am
According to FINRA Cheng failed to provide testimony. [read post]
7 Jan 2014, 6:10 am
Although Chackman neither admitted nor denied FINRA’s findings, he consented to the described sanction; therefore FINRA barred him as a member of the association. [read post]
28 Feb 2022, 7:42 am
FINRA, the federal securities regulator, found in a recent report that brokers don’t always pay attention to customers’ risk tolerance and violate FINRA rules on risk monitoring. [read post]
