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19 Jan 2021, 6:59 am
Continue Reading › The post FINRA Orders Worden Capital Management to Pay Over $1.5M Over Brokers’ Churning appeared first on Investor Lawyers Blog. [read post]
16 Jul 2019, 1:01 pm
2019 FINRA Contested Small Firm Election: Vote for Linde Murphy(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4713/2019-FINRA-Board/Among the first order of business after the 2019 FINRA Board election results are certified should be the authorization by the FINRA Board of Governors of an independent, outside investigation to determine whether FINRA "staff and leadership" recommended that the Nominating Committee draft and publish the… [read post]
9 Aug 2019, 11:47 am
Federal Court Grapples With Compliance Officer's Whistleblowing to FINRA(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4752/FINRA-Whistleblowing/Day after day, FINRA rolls out bull-shit notices to members about initiatives, about seminars, about retrospective rule reviews. [read post]
24 Oct 2022, 3:44 am
FINRA Taxonomy News Release Isn't Newsworthy (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6734/finra-taxonomy-initiative/FINRA seems to think that Wall Street was awaiting with great anticipation the fabulous news that FINRA had launched a machine-readable rulebook initiative. [read post]
23 Oct 2020, 3:31 am
North was first associated with a FINRA member firm in 1994, and according to FINRA's online BrokerCheck, he was first registered in 1998. [read post]
12 Jun 2023, 4:15 am
Further, until such time as FINRA demonstrates a sincere commitment to reform, I urge all FINRA member firms to instruct their Executive R... [read post]
18 Oct 2019, 4:41 am
SEC Says FINRA Doesn't Have To Sell Cheese At Its Arbitration Shop (or something like that) (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4873/finra-monty-python/Today's featured FINRA Arbitration reminds me of the famous Monty Python's Flying Circus "Cheese Shop" sketch. [read post]
25 Jul 2019, 5:09 am
FINRA Bars Gambling Rep Who Ev... [read post]
15 Apr 2022, 2:34 pm
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6408/finra-map/For Wall Street's overwhelmed compliance staff, you just wasted valuable time reading FINRA's April 14th Information Notice. [read post]
4 Jun 2021, 2:04 pm
I'm guessing that the settlement offer made by FINRA Staff was much higher than what the FINRA OHO Panel imposed. [read post]
13 May 2022, 8:59 am
Ninety days ago, FINRA published: "FINRA Hires Firm to Conduct Independent Review of Arbitrator Selection Process" (FINRA Press Release / February 18, 2022)https://www.finra.org/media-center/newsreleases/2022/finra-hires-firm-conduct-independent-review-arbitrator-selection. [read post]
17 Sep 2022, 9:15 am
Ungerleider, Candidate for FINRA 2022 Small Firm Member of the National Adjudicatory Council / FINRA and We Have Skin in the Game (BrokeAndBroker.com Blog)Wells Fargo Wins FINRA Arbitration Against Former Rep With Three On And Off Lawyers (BrokeAndBroker.com Blog)FINRA Fines and Suspends Former Rep for Non-disclosure of Misdemeanor Theft ChargeIn the Matter of Jimmie Scott Griffea, Respondent (FINRA AWC)FINRA Censures and Fines IBN Financial… [read post]
16 Jul 2019, 1:01 pm
UPDATE: 2019 FINRA Contested Small Firm Election: Vote for Linde Murphy(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4713/2019-FINRA-Board/Among the first order of business after the 2019 FINRA Board election results are certified should be the authorization by the FINRA Board of Governors of an independent, outside investigation to determine whether FINRA "staff and leadership" recommended that the Nominating Committee draft and… [read post]
25 Feb 2021, 12:17 pm
On appeal, FINRA's NAC affirmed. [read post]
23 Aug 2019, 2:07 am
FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement (FINRA Release)http://www.finra.org/newsroom/2019/finra-evp-office-fraud-detection-and-market-intelligence-cameron-funkhouser-announcesAfter some 35 years of service to NASD and then FINRA, Executive Vice President Cameron Funkhouser has announced his retirement. [read post]
11 Jul 2020, 3:43 am
The Futility of Futility On Display in FINRA Expungement Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5316/FINRA-SEC-Expungement-Graham/In a recent SEC Opinion, we are presented with an individual who says that he didn't file a FINRA Arbitration Statement of Claim seeking expungement because FINRA routinely rejects claims such as his as "ineligible. [read post]
10 May 2016, 11:16 am
The sanction represents FINRA’s largest fine related to variable annuities. [read post]
13 Jun 2012, 9:00 am
President of FINRA’s dispute resolution unit Linda Fienberg says this new program will allow parties in large disputes to “shape their own arbitration.” [read post]
7 Feb 2022, 7:03 am
You also probably won’t be surprised to see our old friends at FINRA popping up. [read post]
23 Jan 2017, 5:11 am
We don't need those idiots from FINRA or the SEC poking around, right? [read post]
