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6 Jun 2012, 3:40 pm
Russo stated that the FSI has conducted two polls of its financial adviser members to determine whether they support FINRA as the SRO and 75% agreed that FINRA should become the SRO. [read post]
16 Nov 2017, 3:48 pm
FINRA records also indicate that Mr. [read post]
21 Dec 2017, 12:40 pm
According to FINRA BrokerCheck, Mr. [read post]
11 Jun 2017, 5:54 am
Unfortunately, it is not as transparent as it might otherwise be.FINRA’s arbitrator appointment process uses the Neutral List Selection System which FINRA claims randomly generate lists of arbitrators from FINRA’s arbitrator roster. [read post]
18 Aug 2015, 9:40 am
(FINRA 2014 Report.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting. [read post]
9 May 2022, 9:28 am
StartEngine agreed to pay a $350,000 fine without admitting or denying FINRA’s allegations (Wefunder Portal, LLC, FINRA Letter of Acceptance, Waiver, and Consent No. 2021071940801, May 4, 2022; StartEngine Capital LLC, FINRA Letter of Acceptance, Waiver, and Consent No. 2017055183101, May 4, 2022). [read post]
25 Feb 2013, 9:31 am
This may prompt FINRA to reevaluate class arbitration rules. [read post]
24 Jan 2023, 10:14 pm
Continue Reading › The post Florida FINRA Attorneys appeared first on Investor Lawyers Blog. [read post]
15 Nov 2023, 8:41 pm
Continue Reading › The post FINRA Lawsuit Attorney appeared first on Investor Lawyers Blog. [read post]
11 Dec 2023, 8:34 pm
Continue Reading › The post FINRA Law Firm appeared first on Investor Lawyers Blog. [read post]
8 Aug 2011, 6:34 am
According to FINRA, “significant recent inflows” spurred the investor alert. [read post]
15 May 2008, 4:01 am
FINRA is seeking comments on these proposed changes through June 13th. [read post]
8 Jun 2021, 9:46 am
A more complete summary of the history of the FINRA expungement process and the rule proposals are described on a new FINRA webpage dedicated to expungement issues. [read post]
26 Jun 2017, 12:44 pm
FINRA found that several of these individuals were not registered in any capacity, while some were registered in their home jurisdiction but not with FINRA. [read post]
28 Jan 2010, 11:52 am
As a result, FINRA has published guidance to member firms seeking to know how the FINRA rules governing communications with the public apply to these social media sites. [read post]
19 Oct 2017, 4:19 am
FINRA is considering a number of changes to its arbitration procedure. [read post]
15 Jan 2018, 9:08 am
Christopher Hickman, a registered representative from Boynton Beach, Florida, formerly with Cetera Advisors, was fined and suspended from FINRA membership as a result of an investigation into his Unit Investment Trust (UIT) trading for multiple clients, conduct deemed a violation of FINRA rules. [read post]
15 Jan 2018, 9:08 am
Christopher Hickman, a registered representative from Boynton Beach, Florida, formerly with Cetera Advisors, was fined and suspended from FINRA membership as a result of an investigation into his Unit Investment Trust (UIT) trading for multiple clients, conduct deemed a violation of FINRA rules. [read post]
15 Dec 2021, 1:44 pm
FINRA has announced that “ll in-person participants, including arbitrators, mediators, counsel, parties, paralegals, witnesses, and others, must be fully vaccinated to attend FINRA Dispute Resolution Services arbitration hearings or mediation sessions (hearing). [read post]
15 Dec 2021, 1:44 pm
FINRA has announced that “ll in-person participants, including arbitrators, mediators, counsel, parties, paralegals, witnesses, and others, must be fully vaccinated to attend FINRA Dispute Resolution Services arbitration hearings or mediation sessions (hearing). [read post]
