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15 Oct 2021, 10:00 am
Since Hollifield failed to respond to FINRA’s request for information, pursuant to FINRA Rule 8210, Hollifield accepted a lifetime ban from the securities industry. [read post]
15 Oct 2021, 9:54 am
FINRA Bars Edgar Kleydman after Allegations of “Selling Away” According to the Financial Industry Regulatory Authority (FINRA), on October 14, 2021 the regulator has barred financial advisor Edgar Kleydman (CRD #2727571) from associating with any FINRA member at any time. [read post]
1 Sep 2010, 7:01 am
This is the second time in a month that a subsidiary of Raymond James Financial Inc. has been ruled against in FINRA arbitration involving auction rate securities. [read post]
15 Aug 2017, 10:06 am
FINRA Bars Paul V. [read post]
24 Nov 2014, 6:15 am
Johnson first became registered with FINRA in 1991. [read post]
12 Mar 2018, 7:25 am
Barber after FINRA Award According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former broker David L. [read post]
5 Aug 2016, 7:27 am
By his alleged conduct, Williams violated FINRA Rule 2010. [read post]
23 Oct 2020, 3:00 pm
Punderson allegedly violated FINRA Rule 8210 and 2010, is no longer registered with any FINRA member firm and remains under FINRA’s jurisdiction. [read post]
27 Jul 2012, 4:35 am
(FINRA Careers, Job No.: 001817.)Related posts: SEC Affirms Role of NASD Ombuds; Securities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds; FINRA Directors Defend Ombuds Program. [read post]
22 Jan 2011, 9:06 am
Now, again, FINRA awarded money against stock brokers who marketed these investments for preservation of capital with a good yield and equity growth potential. [read post]
23 Feb 2023, 10:04 am
FINRA makes available an arbitration forum—pursuant to rules approved by the SEC—but has no part in deciding the award. [read post]
23 Mar 2016, 6:11 am
For FINRA’s full findings, see FINRA Case #2015045937401. [read post]
16 Jun 2016, 10:33 am
For the full FINRA findings, see FINRA Case #2015046376501. [read post]
22 Jul 2014, 10:27 am
For the full findings, see FINRA Case #2012034568401. [read post]
19 Aug 2021, 3:00 am
The problem was, FINRA didn’t want the responsibility either, and nobody besides the NYSE was very enthused about a change. [read post]
22 Jul 2014, 10:25 am
For the full findings, see FINRA Case #2013038645001. [read post]
11 Nov 2015, 12:28 pm
For FINRA’s full findings, see Case #2014043217701. [read post]
21 Dec 2009, 5:05 pm
FINRA says it found no reasonable basis for those statements. [read post]
18 Jun 2014, 1:10 pm
For the full details of FINRA’s investigation, see FINRA Case #2011030498301. [read post]
16 Jun 2016, 10:29 am
For the full FINRA findings, see FINRA Case #2016049412601. [read post]
