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27 Feb 2020, 3:13 pm
” However, FINRA found that firms were deficient in this regard. [read post]
27 Mar 2015, 7:07 am
As we reported, The Financial Industry Regulatory Authority (FINRA) sanctioned Popular Securities, Inc. [read post]
16 Jan 2015, 6:16 am
FINRA fines are as follows: Barclays Capital Inc. [read post]
22 Jul 2022, 5:28 am
---The attorneys at Sallah Astarita & Cox, LLC have been representing firms and brokers in FINRA disciplinary proceedings for decades. [read post]
14 Dec 2017, 8:05 am
For FINRA’s full findings see FINRA case number2016049354501. [read post]
14 Jul 2016, 7:13 am
Turner violated: (i) FINRA Rules 4511 and 2010 by providing false information and engaging in deceptive acts in connection with recommendations of variable annuities; (ii) Section 10(b) of the Exchange Act, Rule 10b-5 and FINRA Rules 2020 and 2010 by fraudulently misrepresenting and omitting material facts to his customers; and (iii) FINRA Rules 8210 and 2010 by failing to provide testimony and information in FINRA’s proceeding. [read post]
15 Aug 2019, 10:25 am
FINRA Investigation: Daniel G. [read post]
5 Feb 2013, 9:55 am
FINRA cited a May 2012 report in which Robert Doty, a Sacramento, Calif. [read post]
19 Feb 2015, 9:13 am
In addition to FINRA’s claims, Duggins public disclosures reveal that Duggins has been subject to multiple tax liens totaling over $300,000. [read post]
28 Feb 2014, 4:46 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Center Street Securities, Inc. [read post]
13 Aug 2015, 6:26 am
According to FINRA, the agency made attempts to have Amaral appear for testimony concerning an unstated matter. [read post]
20 May 2013, 9:59 am
The White Law Group has filed several FINRA arbitration cases involving VSR’s sales of alternative investments. [read post]
10 Aug 2015, 7:03 am
In addition, to the most recent FINRA action and bar, Woodhouse has been the subject of at least one customer complaint involving a private placement. [read post]
1 May 2014, 11:17 am
” Yet, as the FINRA press release revealed, these actions continued on until at least July, 1, 2012. [read post]
26 Jan 2016, 5:00 am
NASAA observed that under FINRA’s proposal, firms that qualify for the SEC’s no-action relief would be permitted to register with FINRA as a capital acquisition broker (CAB) or, if already a FINRA member, switch their registration status to CAB registration. [read post]
4 May 2012, 6:02 pm
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
11 Oct 2021, 7:24 am
The FINRA arbitrators ordered JP Morgan to pay Ms. [read post]
9 Aug 2024, 1:24 pm
The post Stifel, Nicolaus & Company Broker Chuck Roberts Subject Of FINRA Arbitration Claims appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Jul 2024, 1:37 pm
FINRA Warning To Monitor Regulatory Compliance When Using Gen AI Tools FINRA Regulatory Notice 24-09 published June 27, 2024, warns FINRA members to use care to ensure continued compliance with FINRA and other securities laws and rules when using Gen AI or other similar technologies in their businesses. [read post]
27 Mar 2018, 6:13 am
For FINRA’s full findings see FINRA Case # 2017053526401. [read post]
