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12 Mar 2021, 11:31 am
SEC Charges Additional Four Unregistered Brokers Who Sold $24 Million in 1 Global Securities to Retail Investors (SEC Release)Birmingham Business Pleads Guilty to Wire Fraud (DOJ Release)Acton Investment Advisor Sentenced for Stealing More Than $3.7 Million of Clients' Funds (DOJ Release)Securities Commissioner Stops Another Online Forex and Cryptocurrency Scam (TSSB Release)FINRA Fines and Suspends Rep for PSTIn the Matter of Tonya Nicole Smoake, Respondent (FINRA… [read post]
25 Feb 2021, 12:17 pm
Peirce)FINRA Censures and Fines Securities America Over Outsourced Onboarding (BrokeAndBroker.com Blog)The Saga of FINRA Versus Kimberly Springsteen-Abbott (BrokeAndBroker.com Blog)SEC... [read post]
16 Jul 2021, 7:08 am
UBS Settles Charges Related to Investments in Complex Exchange-Traded Product (SEC Release)SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer (SEC Release)FINRA Sanctions Wilson-Davis and Three Principals Over Microcap Supervision(FINRA Order Accepting Offer of Settlement)SEC Awards About $40,000 to WhistleblowerOrder Determining Whistleblower Award Claim FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That… [read post]
3 Jan 2021, 7:28 am
FINRA Arbitrator Says It Wasn't UBS Fraud. [read post]
26 Aug 2016, 11:12 am
If things go awry, FINRA regulation also governs the rights the public has in industry-controlled arbitration. [read post]
26 Dec 2014, 7:36 am
Dissecting FINRA's Acceptance, Waiver, and Consent Settlement (AWC)It's another new year and time to re-visit the nuances involved in entering into an Acceptance, Waiver, and Consent settlement ("AWC") with the Financial Industry Regulatory Authority ("FINRA"). [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD… [read post]
25 Mar 2021, 4:03 am
The Great FINRA Hand Sanitizer Caper!!! [read post]
15 Nov 2017, 12:00 pm
These concurrent positions may reduce public confidence in FINRA's ability to... [read post]
1 Jun 2020, 2:04 am
In the Matter of Hector Ramos, Respondent (FINRA AWC)FINRA Fines and Suspends Stockbroker Over Emails. [read post]
17 Jun 2021, 3:25 am
Roisman to the National Investor Relations Institute /2021 Virtual Conference)FINRA Fines and Suspends Rep for Using Correction FluidIn the Matter of Robert Brandon Prettyman, Respondent (FINRA AWC)FINRA Fines and Suspends Rep for Falsifying 22 Variable Annuities FormsIn the Matter of Eric P. [read post]
9 Oct 2020, 8:45 am
Beasley, Respondent (FINRA AWC)J&F Investimentos S.A. [read post]
27 Jun 2016, 8:13 am
Plus - FINRA's two year jurisdiction retention does not limit your arbitration agreement.From the Securities Arbitration Commentator:The term “customer” in FINRA Form U-4 and FINRA’s Code of Customer Arbitration Rule 12200 includes a member firm’s account-holder victimized by the rogue investment activities of a FINRA registered broker, even with respect to investments made outside the account that do not result in any commissions or… [read post]
7 Jan 2022, 11:54 am
FINRA Mulls A Defaulted Bond's Worth (BrokeAndBroker.com Blog)Federal Indictment Charges Chicago Attorney With Insider Trading (DOJ Release)SEC Charges Two Friends and Former Business Associates with Insider Trading (SEC Release)FINRA Censures and Fines E*TRADE for Supervision LapsesIn the Matter of E*TRADE Securities LLC, Respondent (FINRA AWC)What to Expect: CE Transformation & Maintaining Qualifications Program (FINRA Unscripted)SEC Awards 30% to… [read post]
2 Jun 2017, 2:05 am
In that June 3rd article, I stated that:The FINRA Small Firm community deserves capable, sincere, dedicated, veteran candidates for the 2017 FINRA Small Firm Governor seat. [read post]
11 Jun 2018, 9:14 am
For FINRA’s full findings see FINRA case # 2017055941601. [read post]
22 Aug 2019, 12:41 pm
FINRA Investigation: Erik P. [read post]
11 Jan 2016, 4:17 am
FINRA does not agree with this statement to such a degree that culture is now part of FINRA’s exam priorities for 2016. [read post]
20 Sep 2017, 5:36 am
(FINRA Case #2013038869101) Oppenheimer & Co. [read post]
5 Oct 2009, 1:42 pm
In another claim (Case No. 01-06167), this one settled in 2001, FINRA found Woodbury liable for more than $110,000 in a claim involving misrepresentation, breach of fiduciary duty, failure to supervise and unsuitability. [read post]
