Search for: "Finra"
Results 5181 - 5200
of 18,148
Sorted by Relevance
|
Sort by Date
24 Apr 2020, 5:21 am
FINRA Baseball Caps, Rice Krispies Treats, Hiring Spree, and ZOOM OTRs(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5197/FINRA-Zoom-OTR/FINRA's senior management and Board of Governors have not responded in a compassionate manner to Staff efforts to compel teleconferenced OTRs or hearings. [read post]
25 Jun 2021, 7:19 am
The SEC Says Sponsored Research Didn't Disclose It Was Paid For (BrokeAndBroker.com Blog)FINRA Sanctions Robinhood Financial LLCIn the Matter of Robinhood Financial LLC, Respondent (FINRA AWC)FINRA Bars Rep for Using Imposter for Regulatory Element CEFINRA Department of Enforcement, Complainant, v. [read post]
17 May 2019, 9:41 am
The sole FINRA Arbitrator slams Claimant and his counsel for not producing the settlement agreement. [read post]
28 May 2021, 8:56 am
Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5882/finra-2010-potter/FINRA Rule 2010 is applied in a disparate fashion against smaller member firms and the industry's associated persons in contrast to larger FINRA firms and powerful industry interests. [read post]
1 Aug 2021, 10:04 am
In contrast, consumer advocates and industry regulators often complain that FINRA's expungement process is a dangerous laundromat. [read post]
11 Apr 2017, 4:30 am
(Monster.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds Program; Ombuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report. [read post]
18 Jun 2014, 3:45 am
According to FINRA Department Of Enforcement, Complainant, v... [read post]
18 Jan 2022, 3:17 am
Be that as it may, a recent FINRA public customer arbitration highlights what happens when a party to a lawsuit dies before the case concludes and a verdict rendered.FINRA Arbitration Award Limits Social Media Liking and Linking (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6243/finra-arbitration-stipulated-award/In a sign of the times, a recent FINRA dispute between two former associated persons prompted a Stipulated Award. [read post]
28 May 2021, 8:56 am
GUEST BLOG: FINRA Withdraws Proposed Expungement Rule by Nancy L. [read post]
9 Apr 2021, 6:00 am
Insult Added to Injury in Puerto Rico Bond Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5808/puerto-rico-bond-finra/A public customer filed a FINRA arbitration claim citing nearly $6 million in losses in Puerto Rico municipal bonds. [read post]
12 Feb 2022, 7:37 am
Robinhood Hit With Damages in a Say-Nothing FINRA Arbitration Award (BrokeAndBroker.com Blog)Three Men Guilty in Scheme to Defraud Elderly and Vulnerable Victims of More Than $5 Million (DOJ 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 Netted Almost $2 Million /… [read post]
3 Jan 2020, 4:27 am
Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5005/finra-gigi-jordan/Today's featured FINRA Arbitration comes off as a fairly pedestrian affair. [read post]
6 Sep 2022, 4:06 am
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6648/saliba-finra-sec/Today's traveling regulatory circus makes its way back to FINRA's fairgrounds. [read post]
31 Jan 2022, 2:35 am
FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)In re: JANUARY 2021 SHORT SQUEEZE TRADING LITIGATION (This Document Relates to the Robinhood Tranche) (Order SDFL)FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6256/robinhood-finra-arbitration/By now, you'd think that Wall Street's regulatory community would want something akin to full disclosure to the investing public about… [read post]
28 Apr 2018, 12:07 pm
Consider a recent FINRA arbitration and how useful BrokerCheck would be in researching some of the named parties.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in June 2016. [read post]
19 Sep 2019, 1:32 am
Vanech, Respondent (FINRA AWC 2016052655301)https://www.finra.or... [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC… [read post]
24 Oct 2016, 4:43 am
The more I re-read a recent FINRA Arbitration Decision involving Wells Fargo, the angrier I become. [read post]
22 Jan 2021, 10:53 am
FINRA Appoints Scott W. [read post]
30 Apr 2014, 10:11 am
Michael Earl McCune, Respondent (FINRA Office of Hearing Officers (“OHO”)&nb... [read post]
