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4 May 2017, 11:28 pm
The summary explains Regulatory Notice 17-11 The SEC approved: (1) the adoption of new FINRA Rule... [read post]
15 Oct 2015, 10:41 pm
The Financial Insurance Regulatory Authority (FINRA) distributed a press release on October 15, 2015. [read post]
5 Oct 2009, 3:11 pm
FINRA today issued an Investor Alert called Beware of Auction Rate Securities Settlement "Phishing" Scam, which warns the public about a scam using fake FINRA emails that promise compensation from auction rate securities (ARS) settlements in exchange for personal information.... [read post]
5 Feb 2010, 7:26 am
Journal, for example, reports today that FINRA is reaching out... [read post]
6 Aug 2014, 10:57 am
That figure would represent the highest amount of fines reported by FINRA since the financial crisis and the most fines reported by FINRA since 2006 ($111 million).FINRA investigations are always serious, and financial professionals almost always need the assistance of counsel in these investigations. [read post]
9 Jan 2013, 12:20 pm
FINRA just released its 2012 Year in Review Report. [read post]
29 Oct 2014, 6:36 am
Settlement Agreements In Regulatory Notice 14-40, FINRA follows up on its prior Notice to Members 04-44, in which it had cautioned firms about the use of certain provisions in settlement agreements that impede, or have the potential to impede, FINRA investigations and the enforcement of FINRA actions. [read post]
29 Oct 2014, 6:36 am
Settlement Agreements In Regulatory Notice 14-40, FINRA follows up on its prior Notice to Members 04-44, in which it had cautioned firms about the use of certain provisions in settlement agreements that impede, or have the potential to impede, FINRA investigations and the enforcement of FINRA actions. [read post]
29 Apr 2019, 3:43 pm
FINRA also established BrokerCheck to provide the public with information on members firms and their associated persons. [read post]
18 May 2012, 12:00 pm
FINRA's goal is to protect the public and BrokerCheck will be an even greater tool going forward. [read post]
6 May 2024, 11:52 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
8 May 2008, 1:41 pm
Rivera was barred by FINRA (then NASD) in December 2006. [read post]
31 Mar 2020, 6:02 am
According to FINRA Disciplinary actions for March 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Eric Abrahams Burch & Company, Inc. [read post]
22 Sep 2022, 8:41 am
According to FINRA Disciplinary actions for September 2022, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Robin Auguste J.P. [read post]
30 Jan 2008, 6:14 am
This week, FINRA launched a new webcast dealing with supervisory concerns when working with senior citizens. [read post]
25 Oct 2018, 1:47 pm
FINRA members have fiduciary duty to a professional standard of care. [read post]
26 Aug 2014, 6:04 am
Last month we learned that FINRA Enforcement fines were up, and set to surpass last year's fines. [read post]
14 Jan 2013, 9:03 am
This information will help FINRA develop rules relating to crowdfunding portals. [read post]
22 Jan 2013, 12:35 pm
FINRA has filed with the SEC a proposed rule change to amend FINRA Rule 2267 (Investor Education and Protection) to require that members include a prominent description of and link to FINRA BrokerCheck, as prescribed by FINRA, on their websites,... [read post]
26 Mar 2020, 12:07 pm
With 30 years of FINRA arbitration experience in over 600 arbitrations, he probably knows the answer. [read post]
