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23 Dec 2021, 10:58 am
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously? [read post]
4 Nov 2017, 5:58 am
You ask FINRA and the self-regulator will argue that it did not impose the SD but that it occurs by operation of law. [read post]
17 Jun 2021, 3:25 am
FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5916/finra-awc-bankruptcy/If you run afoul of FINRA, you may be given the opportunity to enter into a regulatory settlement without admitting or denying the facts. [read post]
23 Jun 2014, 6:40 am
What did FINRA know and when did they know it? [read post]
1 Dec 2014, 3:46 am
As a recent FINRA regulatory settlement shows, the magic of the holiday season is in the air. [read post]
12 Feb 2021, 11:24 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5698/securities-industry-commentator/New Research: Four in 10 American Households Had Difficulty Withstanding a Financial Crisis Before COVID-19 / Financial Resilience Toughest for Millennials, Singles, Women and Those With Lower Incomes, No College Degree and Facing Unemployment (FINRA Release / February 17, 2020)Nobody looks out for retail… [read post]
7 May 2020, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5215/securities-industry-commentator/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… [read post]
10 Oct 2019, 9:00 am
Sadly, the FINRA Investor Education Foundation has only earned the somewhat uninspired moniker of the Foundation or the FINRA Foundation. [read post]
23 Apr 2021, 3:54 am
Wells Fargo Advisors Financial Network, LLC, Respondent (FINRA Arbitration Award)FINRA Arbitrator Recommends Expungement After Citing Improper E-Mail Trade OrderIn the Matter of the Arbitration Between Patrick Peterson, Claimant v. [read post]
11 Sep 2020, 9:26 am
And now we got a Motion to Reconsider.2019 FINRA Arbitration DecisionIn a FINRA Arbitration Statement of Claim filed in August 2015, FINRA member firm Wells Fargo Advisors asserted breach of contract attendant to associated person Caputo's alleged non-payment of amounts due under a promissory note. [read post]
19 Mar 2013, 9:39 am
The AWC asserts that Hurwitz did not have any prior FINRA disciplinary history. [read post]
2 Jul 2013, 8:59 am
(FINRA Careers.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds; FINRA Directors Defend Ombuds Program. [read post]
10 Oct 2016, 4:19 am
Going by anecdotal evidence, FINRA member firms have a superb track record with such cases. [read post]
18 Feb 2018, 6:38 am
For some reason, FINRA likes to play hide and seek. [read post]
31 Jan 2022, 2:35 am
That backstory notwithstanding, it's hard to argue against FINRA's imposition on Vungarala of a Bar and the SEC's ratification of same; and it's equally difficult to dispute a FINRA arbitration panel's imposition of compensatory and punitive damages against him. [read post]
11 Jan 2019, 3:21 am
FINRA NAC Affirms OHO Findings that Chief Compliance Officer Failed to Supervise Her Husband, the Firm's PresidentIn the Matter of FINRA Department of Enforcement, Complainant, vs. [read post]
31 Mar 2021, 9:30 am
FINRA Gives Credit to Credit Suisse for Not Having A Relevant Disciplinary History (BrokeAndBroker.com Blog)Six Individuals Charged with Multi-Million Dollar Nationwide Scheme to Peddle Fraudulent Stocks (DOJ Release)City Employee Sentenced for Public Corruption / Philadelphia Employee Accepted Bribes While Working Government Job (FBI Release)SEC Obtains Final Judgment Concluding Fraud Case Against Co-Founder of Real Estate Crowdfunding Portal (SEC Release)Federal Court Orders Alabama… [read post]
12 Feb 2022, 7:37 am
FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement (BrokeAndBroker.com Blog)SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations (SEC Release)Senior Investors / FINRA Adopts Amendments to FINRA Rule 2165 / Effective Date: March 17, 2022 (FINRA Regulatory Notice 22-05 / February 15, 2022)Former CFO of Boston Grand Prix Sentenced to Four Years in Prison for Fraud and Tax Schemes that… [read post]
18 Jun 2013, 8:30 am
In the Matter of the FINRA Arbitration Between Gregory Kiernan, Claimant, vs Merrill Lynch, Pierce, Fenner & Smith Inc., Respondent (FINRA Arbitration 12-02362, June 14, 2013 )Respondent Merrill Lynch generally denied the allegations and asserted various affirmative defenses.The FINRA Arbitration Panel found Respondent Me... [read post]
16 May 2013, 5:03 am
Charles Morgan Securities, Inc., Respondent (FINRA Arbitration 11-04357, May 9, 2013).Respondent Charles Morgan Securities generally denied the allegations and asserted various affirmative defenses.The sole FINRA Arb... [read post]
