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21 Sep 2020, 6:11 am
This supervision requirement is rooted in the Securities Act and all applicable state laws, including myriad FINRA Rules and regulations, including FINRA Rule 3110. [read post]
20 Sep 2020, 1:57 am
Prior to this bar by FINRA, Kevin Gunnip was in the employment of Morgan Stanley and its predecessors. [read post]
20 Sep 2020, 1:57 am
Prior to this bar by FINRA, Kevin Gunnip was in the employment of Morgan Stanley and its predecessors. [read post]
18 Sep 2020, 10:31 am
They must ensure they are complying with FINRA rules. [read post]
18 Sep 2020, 9:48 am
Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). [read post]
18 Sep 2020, 8:24 am
” The Financial Industry Regulatory Authority (FINRA) reportedly barred Fries on August 13, 2019 from association with any FINRA member in all capacities after he reportedly failed to request termination of his suspension within three months of the date of the Notice of Suspension. [read post]
17 Sep 2020, 10:55 am
The post FINRA: Older U.S. [read post]
16 Sep 2020, 12:57 pm
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, please visit https://www.whitesecuritieslaw.com. [read post]
15 Sep 2020, 1:11 pm
FINRA’s disciplinary action against Pitsironis on 9/9/2019 indefinitely barred him in all capacities, and he signed a letter of acceptance, waiver and consent (AWC.) [read post]
15 Sep 2020, 12:42 pm
First it reminds them of NASD Rule 2212 (now FINRA Rule 3230)and NYSE Rule 440A. [read post]
15 Sep 2020, 9:19 am
The flaw in this regulatory matter is FINRA's violation of its Discovery rules. [read post]
15 Sep 2020, 9:19 am
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator (BrokeAndBroker.com Blog)SEC Brings Charges Against Clean Water Project Founder for Defrauding Investors (SEC Release)Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference (Speech by SEC Commissioner Allison Herren Lee)FINRA Arbitrator Recommends Expungement of Customer Complaint Prompted by Family DisputeIn the Matter… [read post]
15 Sep 2020, 9:19 am
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator (BrokeAndBroker.com Blog)Members of Stock Fraud Ring Indicted for Securities Fraud, Two Defendants Arrested (DOJ Release)Queens Man Charged in Insider Trading Scheme (DOJ Release)SEC Charges Index Manager and Friend With Insider Trading (SEC Release)SEC Charges Ponzi Scheme Targeting U.S. [read post]
15 Sep 2020, 7:52 am
Under FINRA rules and SEC guidance, taking money from a client is a serious offense. [read post]
14 Sep 2020, 1:43 pm
He also failed to report a state lien of $11,304 even after being notified by FINRA of the lien. [read post]
14 Sep 2020, 12:37 pm
We have filed a FINRA arbitration proceeding on behalf of our clients against the brokerage firm and summarized the allegations below. [read post]
14 Sep 2020, 9:42 am
Family Trust to Receive Compensatory Damages From Broker-Dealer In its Financial Industry Regulatory Authority (FINRA) arbitration claim against Raymond James & Associates and former broker Paul Anthony Steffany, the Angelina J. [read post]
14 Sep 2020, 7:14 am
FINRA Bars Steven D. [read post]
14 Sep 2020, 7:14 am
FINRA Bars Steven D. [read post]
14 Sep 2020, 6:27 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), one of Appelbaum’s customer complaints likely involves the sale of structured products. [read post]
