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21 Nov 2012, 11:43 am
Janney Montgomery Scott filed a complaint against Hunter with FINRA in May 2011, accusing Hunter of raiding its Salem, Pennsylvania office and interfering with its business. [read post]
15 Mar 2012, 7:10 am
The SEC recently approved FINRA’s proposed rule change to adopt FINRA Rules 5310 (Best Execution and Interpositioning) and 6438 (Displaying Priced Quotations in Multiple Quotation Mediums) in the consolidated rulebook (Consolidated FINRA Rulebook). [read post]
22 Dec 2022, 6:20 am
FINRA Arbitration is the dispute resolution forum used by brokerage firms in the United States for handling lawsuits filed by investors. [read post]
29 May 2019, 8:06 am
FINRA then issued an Acceptance, Waiver & Consent (AWC) letter, which both Lopez and his attorney signed. [read post]
17 Oct 2023, 10:23 am
FINRA is the self-regulator who oversees brokers and brokerage firms. [read post]
25 Jun 2024, 11:25 am
FINRA BrokerCheck – Bryan Noonan The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
22 Sep 2021, 10:28 am
FINRA Bars Ronald Giovino Jr. [read post]
18 Nov 2022, 9:37 am
FINRA Bars Ed Turley after Allegations of Unsuitable Trading, Misrepresentation According to public records posted on FINRA’s website today, the Financial Industry Regulatory Authority has reportedly barred Edward “Ed” Turley (CRD#: 1872294) from associating with any FINRA member at any time. [read post]
6 Dec 2021, 7:44 am
The post It’s Best Not To Have Checks Reading ‘Home’ From Your Girlfriend After You Deny Living With, Talking To Her To FINRA appeared first on Above the Law. [read post]
15 Oct 2014, 6:34 am
FINRA found that between February and March 2009, Sharp sent emails regarding Non-Traded REITs to two potential investors. [read post]
8 Sep 2016, 7:39 am
The most recent regulatory investigation was filed in December 2015 by FINRA alleging potential violations of FINRA Rules 2010, 2150, 3240, and 8210. [read post]
21 Dec 2022, 7:30 am
FINRA Bars Desiderio Torrez, PFS Advisor, after allegations of Selling Unapproved Securities According to a Letter of Acceptance Waiver and Consent on December 20, 2022, the Financial Industry Regulatory Authority (FINRA) has barred former PFS Investments advisor Desiderio Torrez (CRD#: 4759218) from associating with any FINRA member at any time after he reportedly failed to provide information in FINRA’s investigation. [read post]
5 Aug 2022, 12:02 pm
FINRA Suspends James Pecoraro, Spartan Capital after allegations of Excessive Trades According to public records posted to FINRA’s website, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended James Robert Pecoraro (CRD no. 2440231) for nine months after allegations of excessive trading. [read post]
6 Feb 2018, 8:02 am
FINRA has also reportedly ordered the firm to retain an Independent Consultant. [read post]
30 Nov 2017, 7:05 am
Chichester and Sias were barred from the industry by FINRA after FINRA requested documents and information and they failed to provide FINRA with the requested documents and information after initially providing partial responses to a previous request in connection with FINRA’s investigation of their alleged receipt of funds from a customer of the firm. [read post]
23 Sep 2011, 10:21 am
The Financial Industry Regulatory Authority or FINRA ordered Richard H. [read post]
6 Oct 2009, 10:18 am
Charles Schwab (Finra case number 08-02417) and is available on Finra's website. [read post]
30 Apr 2012, 10:34 am
FINRA also noted that in 2010, state regulators brought over 250 actions involving Rule 506 or Regulation D offerings. [read post]
16 Sep 2014, 8:42 am
For the full FINRA findings, see FINRA case #2012034750401. [read post]
14 Feb 2011, 2:53 pm
Thus, it appears the arbitrator did not believe his case fell within the FINRA disclosure requirements. [read post]
