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10 Aug 2023, 1:56 pm
S-21244A-23-0117) According to his FINRA BrokerCheck report, Riposo has five customer complaints and two employment separations. [read post]
5 Mar 2015, 1:03 pm
The SEC approved FINRA’s proposal to ” refine and reorganize the definitions of ‘non-public’ arbitrator and ‘public’ arbitrator. [read post]
13 Dec 2018, 5:59 am
On Wall Street's Alan Foxman explains: https://onwallstreet.financial-planning.com/news/when-personal-gifts-can-break-finras-compliance-rules-for-financial-advisors [read post]
25 Jul 2019, 5:09 am
FINRA's Hearing Officers Are 70% Former FINRA and 30% Former SEC(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4729/finra-hearing-officers/Of the 10 FINRA Hearing Officers, 7 had some FINRA employment prior to their hearing officer role. [read post]
7 Feb 2022, 5:47 am
FINRA Customer Claimant Says Arbitrators ... [read post]
25 Jul 2022, 4:10 am
FINRA Small Firms Face Existential Crisis. [read post]
9 Aug 2018, 2:55 am
2018 FINRA Industry Snapshothttp://www.finra.org/sites/default/files/2018_finra_industry_snapshot.pdfThe FINRA Industry Snapshot 2018 provides an overview o the number of FINRA-registered individuals, firms and their revenues, and market activity. [read post]
17 Jan 2017, 9:54 am
On December 28, 2016, Lax & Neville LLP, a leading national securities arbitration law firm, won a FINRA arbitration award on behalf of Anthony F. [read post]
17 Jan 2017, 9:54 am
On December 28, 2016, Lax & Neville LLP, a leading national securities arbitration law firm, won a FINRA arbitration award on behalf of Anthony F. [read post]
11 Feb 2015, 7:04 am
Grenda has been a registered broker with FINRA since 1981. [read post]
5 Oct 2018, 11:44 am
However, FINRA has proposed eliminating some of these requirements to ease the supervisory burden on broker-dealers. [read post]
31 May 2023, 7:19 am
“Such specificity is necessary to ensure that FINRA can supervise the pilot program appropriately, as well as to enable the SEC to conduct its own examinations of firms and oversee FINRA itself,” the NASAA said. [read post]
18 Mar 2010, 6:17 pm
Meanwhile, FINRA also announced today that their head of enforcement, Susan Merrill, is stepping down to return to private practice. [read post]
9 Feb 2010, 2:25 pm
The board wants to know, Investment News, February 20, 2010 FINRA FINRA Board of Governors [read post]
28 May 2013, 12:32 pm
On May 16, Judge Naomi Reice Buchwald of the United States District Court for the Southern District of New York granted a permanent injunction against hedge fund Turnberry Capital Management LP (Turnberry) in its attempt to compel a FINRA proceeding against SunTrust Banks Inc. [read post]
22 Oct 2018, 3:09 pm
FINRA Bars James T. [read post]
25 May 2012, 1:48 pm
Investors seeking information about their brokers will now enjoy upgraded features on the FINRA BrokerCheck website, including the following: - Centralized access to licensing and registration information on current and former brokers, brokerage firms, investment adviser representatives and investment advisor firms [read post]
6 Jan 2017, 11:13 am
FINRA is targeting: “High risk brokers” or brokers with multiple offenses Bad sales practices including sales to seniors and suitability Risky conduct such as cyber security Market manipulation Financial Security or firms lacking liquidity risky management plans In addition, FINRA states it will begin using electronic, off-site reviews to supplement its on-site cycle examinations. [read post]
4 Nov 2010, 10:01 am
* The licensing fee was reduced to $60, from $69 for FINRA, non-FINRA and mortgage broker-dealers; and for SEC and state investment advisers.* The licensing fee was reduced to $10, from $14 for FINRA, non-FINRA and mortgage sales representatives; and for SEC and state investment adviser representatives.See http://www.dora.state.co.us/securities for more information. [read post]
9 May 2013, 11:25 am
A FINRA hearing panel ruled that the FINRA rules were... [read post]
