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20 Apr 2015, 3:52 am
Although that doesn't necessarily sound like a riveting story, consider the fact that the federal lawsuit under consideration names as one of the Defendants Wall Street's self-regulatory organization, the Financial Industry Regulatory Authority ("FINRA"). [read post]
21 Mar 2023, 7:46 am
FINRA, a self-regulatory organization that oversees the securities industry in the United States, maintains the FINRA CRD. [read post]
17 Aug 2016, 10:53 am
For FINRA’s full findings see FINRA Case #2016048881501. [read post]
7 Oct 2011, 9:01 am
FINRA announced the fine on Oct. 4. [read post]
30 Sep 2009, 3:49 pm
Donald Raymond Dunakin III formerly with Gunnallen Financial, Inc. of El Dorado Hills, California, is the subject of a FINRA disciplinary complaint alleging that he made unsuitable investment recommendations, including the purchase of securities on margin and providing false testimony to FINRA investigators. [read post]
2 Aug 2016, 12:00 am
The Financial Industry Regulatory Authority (FINRA) maintains an archive of frequently asked questions regarding the application of FINRA Rule 2080 relating to the disclosure of customer dispute information. [read post]
24 Aug 2020, 4:20 am
(FINRA Workday Jobs.) [read post]
4 Jun 2020, 1:11 pm
Firm alerts were designed to capture only recently executed mutual fund transactions while, in fact, fee waivers were available in connection with some fund purchases for up to a year after initial sales.Merrill Lynch neither admitted nor denied the charges, but consented to the entry of FINRA’s findings.See FINRA's full press release. [read post]
16 Jul 2019, 1:01 pm
Small Fish Fry on Wall Street Reeks of FINRA Insincerity (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4709/finra-awc-fuzie/Why is it that it always seems like the individual rep and small firm never get a fair break with FINRA? [read post]
13 Feb 2013, 7:00 am
At this point, RIAs can dispense with any concern that FINRA will be its regulator because FINRA pulled its hat out of the oversight ring, at least for now. [read post]
18 Apr 2018, 10:02 am
FINRA does not categorize the cases in its database, so to assemble our list, we searched for words and phrases including “sexual harassment,” “hostile environment,” “sex,” “sexual,” and “harass.” Our analysis is based on FINRA arbitration awards, brokers’ regulatory records from FINRA and state securities... [read post]
22 Oct 2020, 5:07 am
Lonna Ristvedt Has Been Sanctioned by FINRA In June 2015, Lonna Ristvedt allegedly engaged in four undisclosed and unapproved private securities transactions in the total amount of $163,320, according to the FINRA Letter of Acceptance, Waiver and Consent(AWC). [read post]
22 Oct 2020, 5:07 am
Lonna Ristvedt Has Been Sanctioned by FINRA In June 2015, Lonna Ristvedt allegedly engaged in four undisclosed and unapproved private securities transactions in the total amount of $163,320, according to the FINRA Letter of Acceptance, Waiver and Consent(AWC). [read post]
28 Mar 2019, 10:36 am
For FINRA’s full findings see FINRA Case # NO. 2017052325701. [read post]
10 Jun 2014, 6:34 am
FINRA found that Lord met with at least five potential investors in 2010 and 2011. [read post]
26 Apr 2019, 1:47 am
This is an UPDATE "Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration" (BrokeAndBroker Blog / April 12, 2019) http://www.brokeandbroker.com/4531/finra-safra-arb/Today's blog features music videos by Carrie Underwood, Destiny's Child, and the Hollies. [read post]
28 Apr 2021, 6:35 am
For FINRA’s full findings see, FINRA Case #2019063574801. [read post]
17 Nov 2020, 3:26 am
According to his FINRA Brokercheck report, on September 24, 2020, FINRA made a preliminary determination to recommend disciplinary action be brought against broker Ryan Tarjanyi alleging violations of FINRA Rules. [read post]
17 Nov 2020, 3:26 am
According to his FINRA Brokercheck report, on September 24, 2020, FINRA made a preliminary determination to recommend disciplinary action be brought against broker Ryan Tarjanyi alleging violations of FINRA Rules. [read post]
24 Oct 2022, 3:44 am
Accessing FINRA Test Center Launch Codes With Colonel Mustard (BrokeAndBroker.com Blog)The Problem for A Merrill Lynch Registered Rep Seeking the Expungement of a Settled FINRA Arbitration (BrokeAndBroker.com Blog)TD Ameritrade Customer Loses Incorrect Address FINRA Arbitration(BrokeAndBroker.com Blog)DOJ RELEASESFormer Credit Union employee who repeatedly stole from elderly woman’s account sentenced to a year in prison / Over three years he stole more than $129,000… [read post]
