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24 Aug 2015, 7:15 am
The Financial Industry Regulatory Authority (FINRA) sanctioned (Case No. 2010025835701) broker E1 Asset Management, Inc. [read post]
15 Jan 2015, 7:24 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Popular Securities, Inc. [read post]
31 Dec 2008, 12:12 am
For more details on this issue, please see FINRA’s recent press release here. [read post]
23 Feb 2012, 9:18 am
The FINRA Award resulted from a raiding claim brought by Wachovia against Stifel Nicolaus & Co. [read post]
4 Mar 2018, 5:39 am
.”As set forth in “Notice to Members 18-08 (February 26, 2018): Outside Business Activities/ FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions,” proposed FINRA Rule 3290. [read post]
28 May 2021, 8:56 am
A recent FINRA regulatory settlement sanctioned a supervisor's alleged failure to "restrict" a trader's "market access. [read post]
20 Jun 2023, 4:44 am
In keeping with most FINRA arbitrations, we never quite learn exactly what went wrong and who did what to whom and why -- regardless, it's all a burning wreck on the side of the road and it's tough to drive by without looking. [read post]
13 May 2022, 8:59 am
At first blush, a recent FINRA AWC seems to be piling it on against a former Morgan Stanley rep over some silliness involving unapproved emails about a private placement offered by the firm. [read post]
4 Mar 2022, 10:21 am
In keeping with most FINRA arbitrations, we never quite learn exactly what went wrong and who did what to whom and why -- regardless, it's all a burning wreck on the side of the road and it's tough to drive by without looking.Case in PointIn a FINRA Arbitration Statement of Claim filed in September 2020 and as amended, associated person Claimant Di Vincenzo sought declaratory relief and asserted breach of contract; breach of covenant of good faith and fair dealing;… [read post]
12 Jun 2023, 4:15 am
In a recent FINRA Arbitration, about four years after a public customer sued her brokerage firm, her lawyer showed up at the hearing but his client, well, not so much. [read post]
23 Oct 2021, 6:32 am
In a recent FINRA arbitration, former UBS customers sought $10 million in damages based upon allegations about the firm's options program. [read post]
25 Jul 2019, 5:09 am
A recent FINRA intra-industry arbitration pits a former AXA rep against his firm and two individuals. [read post]
22 May 2015, 3:45 am
Consider this recent case in which the use of a personal email address and personal investments becomes a regulatory issue for FINRA.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Philip Tavella submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which… [read post]
30 Jul 2018, 6:34 am
Just off the press, we have: FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry (FINRA Special Notice July 30, 2018 / Comment Period Expires: October 12, 2018)http://www.finra.org/sites/default/files/Special-Notice-073018.pdf As set forth in the "Summary" of the Special Notice [Ed: footnotes omitted]:New financial technology innovations, commonly known as “fintech,” can offer benefits for investors and the… [read post]
6 Aug 2015, 3:00 pm
FINRA announced the results of voting that took place at its 2015 Annual Meeting in Washington, D.C. last month. [read post]
6 May 2016, 4:16 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Matthew John Brock submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
23 Jul 2018, 6:07 am
Today, we got a FINRA arbitration panel awarding public customers nearly $8.5 million in damages, costs, and fees. [read post]
31 Oct 2022, 4:22 am
In a recent FINRA AWC regulatory settlement, RBC Capital Markets was cited for the manual nature of its paper statement review process, personnel turnover, and outdated technology systems. [read post]
28 Nov 2018, 4:36 am
Apparently the divorce court didn't believe her allegations; and apparently, the sole FINRA Arbitrator hearing the husband's expungement request didn't either. [read post]
17 Sep 2022, 9:15 am
On top of everything, Wells Fargo sued Johnson for her alleged failure to repay two Promissory Notes.Case in PointIn a FINRA Arbitration Statement of Claim filed in July 2019, FINRA Member Firm Claimant Wells Fargo asserted breach of contract, promissory estoppel, unjust enrichment, tortious interference with contractua... [read post]
