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31 Oct 2014, 5:24 am
In that spirit, let me praise FINRA for barring someone from the industry who truly appears to have needed to be stopped; however, let me also criticize FINRA for placing this respondent in a somewhat more flattering light than I... [read post]
10 Jan 2020, 1:41 am
All in all, FINRA did its job in a compelling and timely manner. [read post]
30 Jan 2020, 12:46 am
FINRA Imposes Fine and Suspension for Rep's Excessive and Unsuitable Microcap Trading In Account of Customer With Cancer. [read post]
27 Dec 2017, 7:41 am
FINRA Sanctions Citigroup Global Markets Inc. $11.5 Million for Displaying Inaccurate Research Ratings (FINRA Press Release) http://www.finra.org/newsroom/2017/finra-sanctions-citigroup-global-markets-115-million-inaccurate-research-ratingsThe Financial Industry Regulatory Authority fined Citigroup Global Markets Inc. [read post]
18 Jan 2019, 7:08 am
The Sole FINRA Arbitrator recommended expungment and made a FINRA Rule 2080 finding that the customer's claim, allegation, or infor... [read post]
30 Jan 2020, 12:46 am
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5052/finra-public-arbitrators/In a recent FINRA Arbitration, an associated person Claimant sued his former firm and lost. [read post]
2 Aug 2018, 8:17 am
Advance-Fee Frauds Keep Dropping the FINRA Name -- Don't Fall for "Regulator" Imposter Ploys (FINRA Investor Alert)http://www.finra.org/investors/alerts/advance-fee-frauds-dont-fall-regulator-imposter-ploysAs asserted in the Investor Alert, An investor from the United Kingdom purportedly notified FINRA that he had received a detailed document that appeared to be signed by Susan Schroeder, FINRA's Head of Enforcement. [read post]
23 Feb 2016, 4:38 am
In the center ring, we, have a FINRA BrokerCheck record. [read post]
1 Oct 2013, 2:58 am
FINRA says that there is a Time & Price order but subject to limitations and restrictions. [read post]
18 Jan 2022, 3:17 am
FINRA Arbitration Award Limits Social Media Liking and Linking (BrokeAndBroker.com Blog)Rochester Man Who Bilked At Least 1000 Victims Out Of More Than 100-Million In A Nationwide Multi-Million Dollar Ponzi Scheme Going To Prison (DOJ Release)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… [read post]
14 Aug 2021, 8:07 am
PIABA Wanted Live FINRA Arbitration (But Covid Had Other Plans) (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6013/piaba-finra-arbitration-covid/About four months ago in April 2021, the Public Investors Advocate Bar Association ("PIABA") was angered by FINRA's decision to extend the ongoing postponement of in-person arbitrations. [read post]
3 Oct 2016, 12:00 am
Claims of FINRA-member firms against their former Registered Representatives now comprise approximately 40% of all claims filed with the FINRA Office of Dispute Resolution. [read post]
23 Aug 2019, 2:07 am
The sole FINRA Arbitrator recommended expungement after making a FINR... [read post]
8 Aug 2022, 4:02 am
TAT Capital Partners, Ltd, Defendant/Respondent (Opinion, Court of Appeal for the State of California)Former Investment Adviser Sentenced to Five Years for Defrauding his Clients of More than $7 Million (DOJ Release)Order Determining Whistleblower Award Claims <a href="#mendez">FINRA Bars Merrill Lynch NRF for Overtime CompensationIn the Matter of Jolam Mendez, Respondent (FINRA AWC)</a><a href="#stoakes">FINRA Fines and Suspends Rep… [read post]
31 Oct 2014, 5:23 am
When it comes to FINRA, I think it fair to say that I am a critic. [read post]
18 Mar 2022, 11:51 am
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6361/finra-expungement/Why expungements are processed by FINRA's Dispute Resolution Service in an arbitration forum rather than before a regulatory panel is another debate for another day. [read post]
17 May 2019, 9:41 am
Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4605/merrill-lynch-finra/In a recent FINRA public customer arbitration against Merrill Lynch, the FINRA Arbitration Panel dismissed the claims as being filed too late. [read post]
3 Dec 2021, 12:59 pm
No Show Respondent in FINRA Arbitration Prompts No Explanation in Award (BrokeAndBroker.com Blog)Founder of Investment Advisory Firm Charged with Wire Fraud, Investment Adviser Fraud and Money Laundering (DOJ Release)SEC Charges Dialysis Provider and Three Former Senior Executives with Revenue Manipulation Scheme / American Renal Associates Agrees to Pay $2 million Civil Penalty (SEC Release)No Show Respondent in FINRA Arbitration Prompts No Explanation in… [read post]
7 Apr 2009, 1:36 pm
Last week, a FINRA panel awarded two California residents $267,711 plus interest for their lossesâ€â [read post]
25 Jul 2023, 10:40 am
FINRA Rules on Suitability The suitability rule is commonly referred to as FINRA Rule 2111, or simply the Suitability Rule. [read post]
