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27 Dec 2019, 6:48 am
Case in PointIn a FINRA Arbitration Statement of Cl... [read post]
8 Aug 2022, 4:02 am
Consider a recent case to see how some of these issues actually play out.2019: FINRA ArbitrationIn a FINRA Arbitration Statement of Claim filed in April 2015, public customer Claimant Blake asserted breach of fid... [read post]
18 Nov 2016, 7:39 am
Join veteran Wall Street regulatory lawyer Bill Singer as he guides you through the nuts-and-bolts of FINRA Rule 9216 [citations to the Rule are indented below].RULE 9216: No Dispute and No AppealFINRA Rule 9216: Acceptance, Waiver, and Consent; Plan Pursuant to SEA Rule 19d-1(c)(2)(a) Acceptance, Waiver, and Consent Procedures(1) Notwithstanding... [read post]
3 May 2018, 1:56 pm
The post FINRA Investigates Jason Eric Zwibel In $2.6m Customer Dispute appeared first on Securities Arbitration Lawyers Blog. [read post]
5 Mar 2014, 6:59 am
FINRA found that Merriman did not file the offering materials with FINRA’s Corporate Finance Department. [read post]
7 Mar 2016, 9:44 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
17 Jan 2008, 11:47 am
FINRA says that SMH had relationships with over 15 hedge funds. [read post]
31 Oct 2012, 3:00 pm
" FINRA Rule 12100(i). [read post]
30 Jan 2018, 12:17 pm
The post FINRA’s New Elder Fraud Rule – Takes Effect February 5 appeared first on White Securities Law. [read post]
10 Sep 2010, 12:32 pm
The SEC approved new rules submitted by the national securities exchanges and FINRA to expand a recently-adopted circuit breaker program to include all stocks in the Russell 1000 Index and certain exchange-traded funds. [read post]
17 Dec 2015, 1:59 pm
The FINRA arbitration held Mr. [read post]
18 Jul 2017, 8:55 am
(FINRA Case #2012034037602) FSC Securities Corporation (CRD #7461, Atlanta, Georgia) submitted an AWC (Accept, Waiver & Consent) in which the firm was censured and fined $200,000. [read post]
4 May 2012, 5:42 pm
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
19 Jul 2016, 2:36 pm
For FINRA’s full findings, see FINRA Case #2014041884602. [read post]
3 Apr 2018, 8:06 am
For FINRA’s full findings, see FINRA case number 2016052579701. [read post]
11 Dec 2017, 10:59 am
For FINRA’s full findings see FINRA Case #2016049252901. [read post]
18 Dec 2014, 7:22 am
FINRA recently approved various proposed rule changes regarding high-frequency trading, aimed at increasing transparency. [read post]
4 May 2012, 6:00 am
FINRA's track-record with broker-dealers suggests that it is well-positioned to become the SRO for RIAs. [read post]
16 Feb 2022, 6:17 am
FINRA also found that brokers and their registered reps “recommended transactions that were excessive in light of a retail customer’s investment profile and placed the broker-dealer’s or associated person’s interest ahead of those of retail customers. [read post]
30 Mar 2017, 1:06 pm
This week she was barred by the Financial Industry Regulatory Authority (FINRA). [read post]
