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16 Feb 2011, 10:08 am
(FINRA Careers.)Related post: FINRA Directors Defend Ombuds Program. [read post]
26 Jan 2012, 4:44 pm
FINRA says that Merrill Lynch, Pierce, Fenner & Smith must pay a $1M fine because it didn’t arbitrate employee disputes about retention bonuses. [read post]
17 Oct 2016, 2:06 am
A text-book case of FINRA doing its job and the respondent not doing hers. [read post]
17 Dec 2017, 9:59 am
In a recent regulatory settlement, FINRA seems to suggest that one of its small member firms had written supervisory procedures but, then again, didn't, or, perhaps put another way, maybe those procedures existed but were never fully compliant, but, on the other hand, those procedures were compliant when first approved but lapsed into non-compliance, but, oddly, it's not clear as to when things went from compliant to non-compli... [read post]
14 Nov 2017, 12:45 pm
Before you initiate a FINRA expungement arbitration based upon alleged defamation, carefully -- and I mean very, very carefully -- consider that you may presently retain some ability to control your narrative of the underlying events. [read post]
8 Jan 2018, 3:14 am
Sometimes you just never got around to writing stuff down; and sometimes, well, just between us, you figured it was a waste of time and who the hell is ever going to need to see this crap anyway -- which, as such logic goes, doesn't quite help you out of the fix you're now in because someone from FINRA or the SEC is sitting in the conference room going through boxes of paperwork and that one damn thing that you didn't collect,... [read post]
20 Sep 2017, 6:48 am
When observing the tawdry human pageant reported by FINRA, we often come upon cases where we applaud the regulator's actions and sanctions but, nonetheless, are saddened by the circumstances of a Respondent who is clearly struggling with life, stumbling, and making bad choices. [read post]
31 Oct 2018, 3:07 am
For FINRA’s full findings see FINRA case number 2016052649001. [read post]
17 Jun 2021, 7:26 am
They must ensure they are complying with FINRA rules. [read post]
15 Feb 2019, 12:45 pm
For FINRA’s full findings see FINRA case number 2018058504901. [read post]
26 Aug 2019, 8:36 am
For more information on FINRA’s findings see FINRA Case #2017053382401. [read post]
30 Oct 2012, 12:38 pm
FINRA recently posted information on the restitution process on its website. [read post]
20 May 2019, 7:55 am
The White Law Group files FINRA Arbitration Claim against World Equity Group Inc. [read post]
10 Nov 2017, 7:37 am
This information is publicly available on FINRA’s website. [read post]
20 Jun 2019, 11:47 am
For FINRA’s full findings see FINRA case # 2017052424001. [read post]
15 Jul 2021, 7:47 am
He is reportedly not currently registered as a broker, according to FINRA. [read post]
30 Oct 2012, 12:38 pm
FINRA recently posted information on the restitution process on its website. [read post]
30 Oct 2012, 12:38 pm
FINRA recently posted information on the restitution process on its website. [read post]
27 Jun 2018, 1:37 pm
According to an award posted on FINRA’s website yesterday, a FINRA panel has ordered Woodbury Financial Services to pay 2 customers $1.1 million for allegedly failing to supervise a former broker’s unsuitable transactions. [read post]
8 May 2015, 10:42 am
On the heels of an announcement from the Financial Industry Regulatory Authority (FINRA) that LPL Financial LLC has been fined approximately $12 million as a result of lax supervision, FINRA barred former LPL broker Charles Fackrell as a result of him refusing to comply with FINRA’s request for information. [read post]
