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FINRA (and selected SEC) regulatory matters at a glance: What compliance officers need to know
8 Jul 2020, 9:04 am by Glen Barrentine (US)
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
Regulation tomorrow - http://www.regulationtomorrow.com/
Securities Industry Commentator by Bill Singer Esq
4 Mar 2022, 10:21 am
FINRA Arbitrators Award Over $2 Million In Disputed Customer Transfer and Asset Purchase Agreement (BrokeAndBroker.com Blog)Former Cantor Fitzgerald Trader Sues Over Wrongful Termination Involving Child Care Leave (BrokeAndBroker.com Blog)SEC Proposes Rules on Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure by Public Companies (SEC Release)SEC Obtains Final Judgment Against Operator of Fraudulent Digital Asset Trading Fund (SEC Release)FINRA Fines… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
This Is Not A Pipe. This Is Not A Final, Appealable Order
27 Jun 2019, 6:14 am
This is not an article about a FINRA Arbitration. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
27 Nov 2021, 7:18 am
FINRA Sanctions Traderfield and Principal for Supervision of Excessive Trading and Complaint ReportingIn the Matter of Traderfield Securities,Inc. and Mario Divita, Respondents (FINRA AWC)FINRA Sanctions Traderfield and Principal for Supervision of Excessive Trading and Complaint ReportingIn the Matter of Traderfield Securities,Inc. and Mario Divita, Respondents (FINRA AWC… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq WEEK IN REVIEW
20 Jul 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5337/securities-industry-commentator/New Research: FINRA Foundation Examines Financial Capability of Women Behind Bars / Study Highlights Grim Financial Challenges and Gender Disparities (FINRA Release)Vote for Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)Bridgewater Over Troubled FINRA… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
3 Jan 2020, 4:27 am
Silva, Respondent (FINRA AWC)... [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
1 Aug 2021, 10:04 am
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com Blog)Remarks Before the Aspen Security Forum by SEC Chair Gary GenslerCanadian Citizen Convicted for Pump-and-Dump Securities Fraud Scheme (DOJ Release)FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic  (BrokeAndBroker.com Blog)At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com… [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
21 Feb 2020, 1:29 am
Bonk, Respondent (FINRA AWC)... [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
31 Jan 2022, 2:35 am
GFI Securities LLC, Respondent (FINRA Arbitration Award)FINRA Arbitrators Grant Stipulated Award in Lump Sum Annuity Distribution DisputeDavid Epstein and Ethan Epstein, Claimants, v. [read post]
Broke and Broker - http://brokeandbroker.com/index.php
Securities Industry Commentator by Bill Singer Esq
23 Oct 2020, 3:31 am
PeirceSEC Obtains Final Judgment Against Participant in Market Manipulation Scheme (SEC Release)FINRA Fines and Suspends Rep In Response to Son's PST and Personal EmailsIn the Matter of Norman Stanley Batansky, Respondent (FINRA AWC)FINRA Bars Rep In Response to Complaints Via FINRA's Senior HelplineIn the Matter of Cynthia Diane Cowden, Respondent (FINRA AWC)JP Morgan Securities Whiffs In FIN... [read post]
Broke and Broker - http://brokeandbroker.com/index.php
FINRA'S NOTICE TO FIRMS THAT "INVERSE AND LEVERAGED ETFs THAT RESET DAILY TYPICALY ARE UNSUITABLE FOR RETAIL INVESTORS WHO PLAN TO HOLD THEM FOR LONGER THAN ONE TRADING SESSION"
2 Aug 2009, 6:44 pm
On June 11, 2009, FINRA issued Regulatory Notice 09-31 regarding “Non-Traditional ETFs” stating: Exchange-traded funds (ETFs) that offer leverage or that are designed to perform inversely to the index or benchmark they trackâ€â [read post]
Securities Attorneys Law Blog - http://securitiesattorneys.us/
Social media and brokers: FINRA wants broker-dealers to be “friends” with their employees
11 Jun 2013, 7:31 am by Gustav L. Schmidt
FINRA believes that access to social media accounts is therefore necessary to permit Broker-Dealers to comply with regulatory requirements. [read post]
The Securities Edge - http://www.thesecuritiesedge.com/
Coleman Devlin Sanctioned By FINRA Over Unauthorized Trading
9 Dec 2017, 12:27 pm by Adam Weinstein
  Claims may be brought in securities arbitration before FINRA. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
Investor Alert: Iorio Altamirano LLP Investigates SagePoint Financial, Inc. Over Unit Investment Trust (UIT) Early Rollover Practices
16 Dec 2020, 12:30 pm by Iorio Altamirano
SagePoint and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on June 10, 2020, over allegations that between January 2013 and December 2017, SagePoint violated FINRA rules. [read post]
Iorio Altamirano - https://www.iorioaltamirano.com/blog/
Moloney Securities Brokers Shane DeSherlia and Dale Timmerman Allegedly Unsuitably Recommended GWG L Bonds to Illinois Retirees
20 Aug 2022, 7:00 am by Shepherd Smith Edwards & Kantas, LLP
  Our professional L Bond investment loss attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyrs.com) represent these elderly investors in their FINRA arbitration claim against Moloney Securities. [read post]
Investor Lawyers Blog - https://www.investorlawyers.com/blog/
FINRA Fines H&R Block Financial Advisors for Inadequate Supervision of Reverse Convertible Notes Sales and Issues Guidelines for the Sale of These Products
17 Feb 2010, 6:19 am
FINRA also fined and suspended H&R Block broker Andrew MacGill for making unsuitable sales of RCNs to a retired couple. [read post]
Stock Attorneys Blog - http://www.stockattorneysblog.com/
Former UBS Financial Services Stockbroker Jeremy Joseph Cook Barred for Misconduct
23 Oct 2020, 11:17 am by Law Offices of Robert Wayne Pearce, P.A.
Jeremy Joseph Cook of Lafayette, Louisiana submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for failing to provide documents to FINRA in violation of FINRA Rules 8210 and 2010. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Self-Reporting and Other Extraordinary Assistance Can Reap Benefits
15 Aug 2019, 2:26 pm by Sheila R. Carroll
In July of this year, FINRA provided yet another public notice on this topic, Regulatory Notice 19-23 (“RN 19-23”).RN 19-23 reiterates that pursuant to FINRA Rules 4530(b), 8210, and FINRA's Sanction Guidelines, a certain level of cooperation is expected any time FINRA is performing an examination, inquiry, or investigation. [read post]
Cosgrove Law Securities and Investment Blog - http://securitiesandinvestmentblog.blogspot.com/
FINRA Announces Pilot Program To Evaluate All-Public Arbitration Panels
30 Jul 2008, 5:53 pm
FINRA's announcement did not clearly define what is meant by "eligible. [read post]
Investment Fraud Lawyer Blog - http://www.investmentfraudlawyerblog.com/
FINRA Accuses Megurditch Patatian of Falsifying Investor Financial Information to Sell REITs
19 Oct 2021, 6:21 am by Staff Attorney
  Claims may be brought in securities arbitration before FINRA. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/