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4 Nov 2016, 12:47 pm
FINRA Fines ProEquities This brings us back to FINRA’s sanctioning of ProEquities. [read post]
29 Jun 2017, 5:04 am
The CEO of FINRA recently announced that FINRA plans to provide firms with additional resources to deal with recidivist brokers. [read post]
9 Oct 2020, 8:45 am
FINRA's Board Unimaginatively Responds to Existential Crisis By Raising Fees (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5486/finra-rule-proposal/From my perspective, FINRA is an inept and frequently ineffective regulator, which I have long characterized as the lap dog of its larger member firms. [read post]
18 Mar 2022, 11:51 am
Wells Fargo filed a FINRA Arbitration Statement of Claim in May 2012, assertin... [read post]
22 Apr 2021, 10:39 am
(FINRA Workday Jobs.) [read post]
4 Jul 2020, 4:02 am
9Cir Tames Sharemaster After Epic Battles With FINRA and SEC (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5318/sharemaster-feigenbaum-finra-sec/FINRA member firm Sharemaster and its principal Howard Feignbaum battled for 11 years about the firm's 2009 audit. [read post]
9 Aug 2019, 11:47 am
FINRA Conducts Retrospective Rule Review on Senior Investors(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4749/finra-senior-investors/FINRA's brilliant strategy for fighting elder financial abuse starts with a Regulatory Notice replete with questions seeking answers, and then waiting two months for comments. [read post]
15 Oct 2017, 6:07 am
Dazed And Confused By FINRA Private Securities Transaction Rule http://www.brokeandbroker.com/3622/finra-pst/Among FINRA's more lucrative fine-generating violations is FINRA Rule 3280: Private Securities Transactions of an Associated Person, or, in industry jargon, the FINRA PST Rule. [read post]
23 Oct 2021, 6:32 am
Although such a pre-conditioned settlement runs afoul of FINRA's rules,... [read post]
9 Aug 2019, 11:47 am
FINRA Small Firm Board of Governors Election Ends August 19th. [read post]
24 May 2019, 9:08 am
Respectfully, we got a host and FINRA's CEO, a FINRA EVP, and a FINRA SVP all tied up doing a 32-minute podcast and, you know, that hardly strikes me as a great use of regulatory assets. [read post]
20 Jun 2019, 1:56 pm
Wells Fargo Banker and Broker Loses Humpty Dumpty FINRA Arbitration(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4661/finra humpty dumpty/In FINRA arbitration practice, you got a rule laying out the minimal content to be disclosed in an intra-industry or a public customer FINRA Arbitration Decision. [read post]
5 Feb 2021, 10:33 am
NEWSFLASH: FINRA Observes Bad Actors In the Markets (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5692/finra-notice-fraud/A new FINRA Regulatory Notice asserts that there is a "long history of bad actors exploiting" microcaps and pennystocks. [read post]
8 Oct 2021, 1:10 pm
In truth, FINRA is "play" acting. [read post]
18 Feb 2018, 6:37 am
" Further, OIA admonishes that "FINRA should consider ways that ... [read post]
6 Sep 2022, 4:06 am
Becky Keith, Respondent (FINRA Arbitration Award)FINRA Fines and Suspends Rep for Customer LoansIn the Matter of James Gingles, Respondent (FINRA AWC)Former Stockbroker Sentenced to 6 1/2 Years in Prison for $3.2 Million Investment Fraud, Cheating on Taxes and Grandparent Scam (DOJ Release)SEC Cha... [read post]
12 Feb 2021, 11:24 am
FINRA Arbitrators Sanction Spoliation of Evidence by Industry Respondents But Voice Displeasure with Claimant's ProductionIn the Matter of the FINRA Arbitration Between Guillermo Lopez Perez, Claimant, v. [read post]
24 May 2017, 3:46 am
The FINRA ... [read post]
11 Jun 2021, 5:47 am
All Along the Watchtower FINRA Defends Against the Invading Notaries (BrokeAndBroker.com Blog)Order Determining Whistleblower Award Claim (SEC Order)Order Determining Whistleblower Award Claim (SEC Order)All Along the Watchtower FINRA Defends Against the Invading Notaries (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5905/finra-awc-notary/Some say that FINRA stands all along the watchtower and protects the investing public from the oncoming hordes of… [read post]
21 Mar 2018, 7:56 am
(FINRA Careers.) [read post]
