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29 Oct 2012, 5:00 am
It does not appear that a formal announcement of this policy has been made yet by FINRA. [read post]
10 Mar 2023, 7:24 am
The FINRA Letter of Acceptance, Waiver and Consent states that Mr. [read post]
17 Oct 2023, 12:39 pm
FINRA Bars James Pelletiere after Allegations of Misconduct According to public records, the Financial Industry Regulatory Authority (FINRA) has barred James Pelletiere (CRD#: 2628708) from associating with any FINRA member at any time as of October 4, 2023. [read post]
31 Aug 2022, 7:22 am
Similarly, NASAA held discussions with FINRA staff as early as October 2021, regarding a survey FINRA was purportedly drafting; to NASAA’s knowledge, no survey was ever conducted.Unsupported assumptions. [read post]
28 Nov 2022, 10:25 am
According to FINRA, eight investors lost a total of $1.6 Million in a Chinese telecom business. [read post]
26 May 2018, 10:10 am
In February, FINRA warned that scam artists were, “us[ing] FINRA’s name and logo in correspondence – including a fake signature from FINRA President and Chief Executive Officer Robert W. [read post]
14 Apr 2017, 5:00 am
FINRA noted that it welcomes comment on rules not mentioned in the release that might also impact capital formation.In Notice 17-15, FINRA requests comment on proposed amendments to modernize, simplify and clarify FINRA Rule 5110. [read post]
3 Nov 2017, 9:12 am
The subject of FINRA disciplinary proceedings brought a number of tort claims against FINRA in a state court. [read post]
8 Aug 2023, 9:02 pm
Continue Reading › The post FINRA Lawsuit Attorney appeared first on Investor Lawyers Blog. [read post]
5 Jun 2023, 7:52 pm
Continue Reading › The post FINRA Lawsuit Attorneys appeared first on Investor Lawyers Blog. [read post]
26 Jun 2024, 6:58 pm
Continue Reading › The post FINRA Arbitration Lawyer appeared first on Investor Lawyers Blog. [read post]
23 Oct 2017, 8:57 am
"FINRA Fines on Pace to Drop 73% in 2017 [read post]
11 Jan 2018, 4:30 pm
Without admitting or denying FINRA’s findings, Mr. [read post]
12 Jul 2012, 5:36 am
FINRA then fired all three arbitrators. [read post]
1 Feb 2016, 5:54 am
The SEC approved new FINRA Rule 4518 as part of FINRA’s proposal to establish the new Funding Portal Rules and related forms.This Notice provides further guidance on new Rule 4518, which applies to registered broker-dealer members of FINRA that contemplate acting as intermediaries in transactions involving the offer or sale of securities pursuant to the crowdfunding provisions of Title III of the JOBS Act and the SEC’s Regulation Crowdfunding.Under the new… [read post]
1 Jun 2021, 9:43 am
FINRA is currently investigating how Robinhood displays cash and buying power to customers and its options trading approval process. [read post]
29 Jul 2020, 1:42 pm
The post FINRA Arbitration – What Is A Product Case? [read post]
26 Apr 2012, 7:57 am
The Financial Industry Regulatory Authority ("FINRA") has censured and fined CapWest Securities, Inc. [read post]
28 Mar 2023, 9:03 am
FINRA Rule 4512 and FINRA Rule 2165 both aim to protect investors from financial exploitation, but they differ in their scope and requirements. [read post]
10 Aug 2018, 11:59 am
LeVine is currently not registered with any FINRA member. [read post]
