Search for: "Finra"
Results 5201 - 5220
of 18,149
Sorted by Relevance
|
Sort by Date
30 Apr 2014, 10:11 am
Michael Earl McCune, Respondent (FINRA Office of Hearing Officers (“OHO”)&nb... [read post]
7 Nov 2020, 3:38 am
Benjamin Wey, FNL Media LLC, and NYG Capital LLC d/b/a New York Global Group, Defendants (Third Amended Complaint)Most Wall Street workers to get lower 2020 bonuses: study (Reuters)FINRA Fines and Suspends Rep Over Customer GiftsIn the Matter of Michael Alan Biedny, Respondent (FINRA AWC)FINRA Fines and Suspends Rep Over PSTsIn the Matter of John A. [read post]
4 Nov 2016, 6:02 am
FINRA Settles Non Disclosure Of Tax Liens Without Finding WillfulnessAmong the most common FINRA regulatory matters that are presented in the BrokeAndBroker.com Blog are those involving registered representative's failures to disclose (or to timely disclose) matters on their Form U4. [read post]
10 May 2019, 5:08 am
FINRA Launches Initiative to Simplify Firms’ Digital Experience with FINRA, Facilitating More Efficient and Effective Compliance Programs / Digital Experience Transformation Invites Firms to "Help Us Design the Future" of Compliance Reporting and Management (FINRA News Release)http://www.finra.org/newsroom/2019/finra-launches-initiative-simplify-firms-digital-experience-finraFINRA's initiative is scheduled to be implemented in stages… [read post]
12 Sep 2019, 1:06 am
Based upon revelations in a just-released 2019 FINRA regulatory settlement with JPM Securities LLC, FINRA didn't manage to flip the omelet and wound up with a face covered in dripping egg. [read post]
16 Nov 2017, 1:05 pm
Last month, his brokerage firm's FINRA registration was terminated. [read post]
25 Apr 2013, 6:14 am
Woods first became registered with FINRA in 1998; and during the relevant period of 2005 through June 15, 2011, he was registered with FINRA member firm Fortune Financial Services. [read post]
18 Sep 2023, 4:46 am
But it's also a common dilemma because FINRA's default is to provide unexplained awards. [read post]
16 Aug 2019, 8:00 am
FINRA Puts Lime Brokerage in the Self Regu... [read post]
10 Jan 2020, 1:41 am
In the Matter of Prudential Investment Management Services LLC, Respondent (FINRA AWC)FINRA Fines Citigroup Global Markets Inc. [read post]
Did You Hear The One About The Customer Who Sued Because He Didn't Know Insider Trading Was Illegal?
3 Jan 2021, 7:28 am
Thankfully, a FINRA Arbitrator found that the underlying customer lawsuit was meritless.Case In PointIn a FINRA Arbitration Statement of Claim filled in July 2020, associated person Claimant Borders sought the expungement of a customer d... [read post]
25 Feb 2021, 12:17 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5723/securities-industry-commentator/High Standards In Low Places on Wall Street (BrokeAndBroker.com Blog)Phishing Email Purporting to Be From FINRA / FINRA Alerts Firms to Phishing Email Using "finra-online.com" Domain Name (FINRA Regulatory Notice)9Cir Reverses SLUSA Dismissal of Investors' Class Action… [read post]
23 Apr 2021, 3:54 am
Barton, Respondent (FINRA AWC)Brokerage Firm's Third-Party Complaint Against Its Former CEO Remanded to FINRA Arbitration (BrokeAndBroker.com Blog)140 Victims Lost Millions In Investment Using Nanotech to Turn Dirt Into Gold (BrokeAndBroker.c... [read post]
15 Jun 2017, 6:31 am
Publisher Bill Singer has something complimentary to say about both an AWC and FINRA! [read post]
30 May 2018, 3:06 am
FINRA seems to have been on top of its regulatory duties, and demanded answers. [read post]
2 Apr 2015, 6:59 am
In a recent FINRA regulatory settlement -- well, actually, in two recent FINRA settlements -- we have the somewhat humorous and baffling conduct of a registered representative. [read post]
17 Apr 2023, 4:43 am
FINRA Bars former Securities America Rep For Conversion (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6997/finra-raineri-conversion-awc/ In a recent FINRA regulatory settlement, it is alleged that the pro se Respondent engaged in conversion when he made payments of a customer's personal expenses "without consent. [read post]
17 May 2019, 9:41 am
In FINRA v. [read post]
1 Jun 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5252/securities-industry-commentator/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… [read post]
14 Apr 2021, 8:00 am
2018 FINRA Arbitration AwardIn September 2015, public customer Claimant Manuel G. [read post]
