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20 May 2021, 5:45 pm
The pandemic forced the world to re-evaluate how it works—and FINRA’s… http://feedproxy.google.com/~r/Seclaw/~3/in91vdyvEYc/the-pandemic-forced-world-to-re.html #securitiesattorney #securitieslawyer----- Coast-to-coast representation of investors and financial professionals - Securities Lawyer [read post]
21 May 2021, 3:24 pm
The pandemic forced the world to re-evaluate how it works—and FINRA’s…… http://feedproxy.google.com/~r/Seclaw/~3/aKZ-U5Vxrlc/the-pandemic-forced-world-to-re_20.html #seclaw #finralawyer----- Coast-to-coast representation of investors and financial professionals - Securities Lawyer [read post]
1 Jun 2011, 12:48 pm
While financial advisers are selling the daylights out of high-yield structured products to investors who complain about low interest rates, the Financial Industry Regulatory Authority (FINRA) is warning them of the perils of such securities, according to Bruce Kelly [read post]
29 Feb 2012, 2:22 am
FINRA?) [read post]
13 Feb 2024, 10:47 am
FINRA Bars Broker Brett Hartvigson after Allegations of Overconcentration According to the Financial Industry Regulatory Authority (FINRA), the securities regulator has barred Brett Hartvigson (CRD#: 226308) from associating with any FINRA member in any capacity, as of February 4, 2024. [read post]
29 Aug 2012, 11:50 am
On July 9, 2012 new FINRA Rule 2090 and FINRA Rule 2111 will take effect. [read post]
10 May 2010, 5:10 am
NYSE Euronext (NYX) and the Financial Industry Regulatory Authority May 4 announced that by the end of June, FINRA will take over New York Stock Exchange Regulation’s market surveillance and oversight functions. [read post]
2 Sep 2016, 7:36 am
According to FINRA, Timothy N. [read post]
30 May 2014, 7:27 am
For the full FINRA findings see FINRA Case #2012032916701. [read post]
21 Aug 2017, 1:30 pm
Scotrun, PA ex-broker barred by FINRA, NJ Bureau of Securities and PA Bureau of Securities According to FINRA, Anthony Diaz (Scotrun, PA CRD 4131948) entered into an Order Accepting Offer of Settlement with the Financial Industry Regulatory Authority (FINRA) on May 27, 2015. [read post]
25 Mar 2014, 5:40 am
FINRA rejected Tatro’s bankruptcy defense and that Tatro violated FINRA Rules by failing to provide the information and documents FINRA staff requested and determined that Tatro should be permanently barred from associating with any FINRA member firm in any capacity. [read post]
13 Jun 2016, 6:41 am
Thereafter, in March 2016, FINRA barred Smit stating that Smit consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA related to the alleged participation in unapproved private securities transaction. [read post]
8 Nov 2013, 6:02 am
The attorneys at Gana LLP represent investors in securities litigation and FINRA arbitration cases. [read post]
4 Sep 2016, 7:51 am
(FINRA No. 20160493150-01). [read post]
15 Jun 2016, 11:52 am
The White Law Group recently submitted to FINRA Dispute Resolution a claim against Western International Securities wherein Dawn Bennett was the financial advisor of record. [read post]
20 May 2021, 2:12 pm
The post FINRA Investigation: Merrill Lynch & Alleged Cold Calling Violations appeared first on The White Law Group. [read post]
2 Jun 2018, 4:56 am
If you don't quite see it, though, please read today's BrokeAndBroker.com Blog.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, GrandFund Investment Group, LLC, submitted a Letter of Acceptance, Waiver ... [read post]
9 Mar 2018, 8:24 am
I'm a loser.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2016, public customer Claimant Sharman asserted unsuitability; churning; unauthorized trading; breach of contract; securities fraud; fraud; failure to supervise; negligent supervision; respondeat superior; and breach of the covenant of good faith and fair dealing in connection with his investments in... [read post]
17 Dec 2014, 2:58 am
Consider this recent case involving a registered person's loans from two friends.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, Dian... [read post]
12 Jul 2017, 3:37 am
Bob Simons suspended over discretionary trading In June, 2016 FINRA suspended International Assets Advisory broker Bob Simons for 45 days and fined him $5,000 over allegations that Simons used a private email account to conduct firm business and exercised discretion in customer accounts without complying with firm protocol for doing so. [read post]
