Search for: "Financial Industry Regulatory Authority"
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21 Jul 2014, 6:05 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2013, public customer Claimant Meadows asserted causes of action including breaches of fiduciary duty and contract, negligence, and fraud in connection with his three Individual Retirement Accounts (“IRAs”) maintained at Respondent Charles Schwab & Co., Inc. [read post]
25 Sep 2014, 5:12 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ... [read post]
17 Jun 2014, 3:45 am
Consider these two recent Financial Industry Regulatory Authority disciplinary settlements involving a couple of individuals who got a bit carried away with the travel thing and got caught with their hands in the corporate cookie jar.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financia... [read post]
22 Mar 2016, 4:07 am
Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in January 2015, public customers Claimants Elaine Hornyak and Steven Hornyak alleged breach of fiduciary duty, m... [read post]
6 May 2013, 9:48 am
There are lessons to be learned for those contemplating moving on to other pastures, greener or otherwise.Unfair CompetitionIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012, Claimant U.S. [read post]
12 Jun 2013, 4:47 am
On June 11, 2013, Dan Jamieson of InvestmentNews appears to have broken the story that the Financial Industry Regulatory Authority's ("FINRA's") District 7 Regional Director Mitch Atkins had resigned. [read post]
8 Sep 2015, 3:21 am
Case In Point In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013 and amended in May 2014, registered person Claimant Sabb sought $15,000 in damages and an expungement from her Central Registration Depository record (“CRD”). [read post]
18 Mar 2013, 3:22 pm
In that edition of "IM Guidance Update", the SEC focused on clarifying filing and disclosure requirements associated with investment companies' use of social media, identifying several types of electronic communications and materials on investment companies' websites that are not required to be filed for review by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Feb 2014, 8:01 am
Now that I have your attention, take a few minutes to read about this fascinating case.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2013, public customer Claimant Goldman alleged causes of action including breach of fiduciary duty, unsuitability, and fraud in connection with his investments in Wolf Creek Land Company, LLC and Wolf Creek Land Company II LLC. [read post]
4 Apr 2014, 2:57 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, public customer Claimant de Groot alleged that he had sustained losses when attempting to sell shares of Apple stock “through Respondent’s interactive voice response system.” In addition to seeking costs and attorneys’ fee, Claimant de Groot asked for the following relief:Rewinding of the e... [read post]
3 Mar 2015, 2:52 am
In the end, it seems more of a fizzle than fizz but you be the judge.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2012, former employee Claimant Miller asserted libel per se; and quantum meruit and unjust enrichment relating to his retention bonuses, deferred compensation, and r... [read post]
19 Nov 2018, 4:44 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2017, associated person Claimant Barsegyan asserted breach of contract, unjust enrichment, and conversion in connection with what the FINRA Arbitration Decision characte... [read post]
10 Mar 2014, 6:05 am
Unfortunately, the Decision in this case doesn't do more than fan the flames and produce more smoke.In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, Claimant Williams asserted violations of Minnesota Statues § 181: Employment et seq;accounting;breach of contract; conversion; ... [read post]
16 Oct 2014, 11:36 am
Bottle of WineIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2013, Claimant Clay alleged breach of employment contract; fraud; intentional interference with business relationship; and defamation. [read post]
16 Mar 2015, 4:01 am
The outcome may surprise you.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2011, Claimant Merrill Lynch asserted breach of promissory note and unjust enrichment in connection with a promissory note executed by former employee Respondent Espin... [read post]
28 Feb 2023, 10:00 pm
Similarly, the Financial Industry Regulatory Authority’s (FINRA’s) 2023 Report on Examination and Risk Monitoring Program identified many areas of focus for broker-dealers that will garner continued attention, including Regulation Best Interest, Consolidated Audit Trail, mobile apps, and cybersecurity. [read post]
25 Jun 2018, 6:14 am
Case in PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in May 2017 and as amended thereafter, Claimant Heffernan in her individual capacity and on behalf on an estate asserted violation of Connecticut Unifo... [read post]
21 Oct 2015, 10:13 am
Read this recent FINRA arbitrationCase In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2013, public customer Claimant Phillips representing himself pro se alleged the following causes of action against Respondent Chase Investment Services: breach of fiduciary duty,misrepresentations,omission of facts,failure to supervise,negligence, andfailure to execute. [read post]
8 Feb 2016, 1:48 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2015, Claimant Farris asserted that between August 2013 and August 2014, he had w... [read post]
5 Apr 2014, 6:12 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in January 2013, public customer Claimant de Groot alleged that he had sustained losses when attempting to sell shares of Apple stock “through Respondent’s interactive voice response system.” In addition to seeking costs and attorneys’ fee, Claimant de Groot asked for the following relief:Rewinding of the e... [read post]
