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12 Apr 2019, 5:19 am
In the Matter of Gelband & Co., Respondent (FINRA AWC)FINRA Sanctions Firm and Its Principal for Supervisory Lapses. [read post]
2 Oct 2021, 7:52 am
Troubling FINRA Regulatory Case: Quis custodiet ipsos custodes? [read post]
7 Nov 2022, 2:30 am
TD Ameritrade Loses FINRA Customer Arbitrat... [read post]
4 Aug 2015, 4:35 am
In the Matter of the FINRA Arbitratio... [read post]
3 Feb 2016, 3:22 am
The Corrective Action Statement does not constitute factual or legal findings by FINRA, nor does it reflect the views of FINRA or its staff.... [read post]
15 Apr 2022, 2:34 pm
FINRA Is Aligning Its MAP CAIF Grouping Model With Firm Tofu And Feedback -- or so it seems (BrokeAndBroker.com Blog)Albuquerque investment broker pleads guilty to mail and wire fraud and failure to file tax returns (DOJ Release)Man Charged With Defrauding Customers Who Sought To Buy Cryptocurrency-Mining Computers And Miner-Hosting Services (DOJ Release)SEC Charges Israeli Corporate Insider and Friend with Insider Trading (SEC Release)FINRA Fines and Suspends Rep for Customer… [read post]
6 Mar 2020, 1:30 am
In the Matter of Benjamin Kaz Fujihara, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Acceptance of Referral Fees. [read post]
8 Sep 2020, 1:03 am
(Bloomberg by Dana Hull)SEC Charges Washington Company and Owner with Defrauding Investors (SEC Release)FINRA Censures and Fines SeedChange Over Outside Business Activities Supervision.In the Matter of SeedChange Execution Services Inc., Respondent (FINRA AWC) FINRA Fines and Suspends Rep for Transferring Customer List to New Em... [read post]
1 Aug 2022, 4:04 am
LPL Financial LLC, Respondent (FINRA Arbitration Award)FINRA Small Firms Face Existential Crisis. [read post]
3 Jan 2021, 7:28 am
(BrokeAndBroker.com Blog)FINRA Imposes Fine and Suspension for Willful Untimely Amendment of Form U4 for Tax LiensIn the Matter of Terry Tzagarakis, Respondent (FINRA AWC)FINRA Suspends Rep for Affixing 9 Customers' Signatures to Various DocumentsIn the Matter of Timothy Joseph, Respondent (FINRA AWC)Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal? [read post]
25 Apr 2012, 8:05 am
The article cites FINRA enforcement chief Bradley Bennett as the source of this information, and notes that he refused to identify the broker-dealers that FINRA plans to sue. [read post]
27 Mar 2023, 4:05 am
FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee (BrokeAndBroker.com Blog) DOJ RELEASES SEC RELEASES CFTC RELEASES FINRA RELEASES = = =3/27/2023 FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6961/finra-ubs-motherway/A former UBS rep sued his former UBS investment adviser brokerage firm. [read post]
1 Jul 2021, 7:25 am
Angry Variable Annuity Customer Vexatiously Pursues His Legal Rights (BrokeAndBroker.com Blog)SEC Obtains Final Judgment Against Financial Advisor Who Misappropriated Over $6 Million from Elderly and Other Investors (SEC Release)SEC Obtains Settlement in Fraudulent and Unregistered ICO Case (SEC Release)FINRA Fines and Suspends Rep for Using Pre-Signed Customer LOAsIn the Matter of Fernando Luis Monllor Arzola, Respondent (FINRA AWC)FINRA Fines and Suspends Rep for Outside… [read post]
21 Aug 2022, 12:45 pm
Petersburg Man Sentenced To Ten Years In Prison For Investment Scheme (DOJ Release)Ponzi Scheme Fraudster Sentenced to 11 Years in Prison for Embezzling Over $4 Million (DOJ Release)SEC Charges Market Manipulator Who Filed False Documents Via Edgar (SEC Release)FINRA Fines and Suspends Rep for Excessive/Unsuitable TradingIn the Matter of Efthimios George Petrou, Respondent (FINRA AWC)FINRA Fines and Su... [read post]
11 Sep 2020, 9:26 am
How SoftBank and Robinhooders Added Fuel to the Stock Market Boom (Bloomberg Podcast by Joe Weisenthal and Tracy Alloway)Atlanta director and producer indicted for operating cryptocurrency-based investment schemes that cost victims over $2 million in losses (DOJ Release)SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs (SEC Release)FINRA Censures and Fines ViewTrade Over Resales of Returned IPO SharesIn the Matter of ViewTrade Securities, Incorporated,… [read post]
26 Jun 2022, 6:42 am
<a href="#citigroup">FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)</a>SEC Charges Canadian Public Company and Its CEO in Fraudulent Microcap Scheme (SEC Release)FINRA Fines and Suspends Former UBS for Rock Salt In the Matter of Patrick Reid Murray, Respondent (FINRA AWC)Edelman Financial Goes After Former Employee in Federal Court (BrokeAndBroker.com… [read post]
6 Feb 2013, 7:00 am
FINRA has published guidance on its new marketing Rule 2210. [read post]
18 Jul 2022, 4:06 am
KOHN FOR SMALL FIRM GOVERNORGUEST BLOG: FINRA and Another Nail . . . [read post]
12 Mar 2022, 7:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6347/securities-industry-commentator/FINRA and SEC Continue Dakota / Zipper Ping Pong Game of Dubious Regulation (BrokeAndBroker.com Blog)Supervision / FINRA Reminds Member Firms of the Scope of FINRA Rule 3110 as it Pertains to the Potential Liability of Chief Compliance Officers for Failure to Discharge Designated Supervisory… [read post]
27 Sep 2019, 3:33 am
In the Matter of Cristina Sabengsy, Respondent (FINRA AWC)Rep's Use of White-Out Erases Clean FINRA Regulatory Record. [read post]
