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10 Aug 2023, 9:31 am
FINRA and Conflicts of Interest FINRA published a thorough report on conflicts of interest that demonstrates recurring challenges that are consistently contributing to compliance and supervisory breakdowns. [read post]
9 Aug 2023, 11:25 am
FINRA rule 4511 applies to all member firms of FINRA and requires them to maintain records that are complete and accurate. [read post]
9 Aug 2023, 9:28 am
FINRA BrokerCheck – Lickhai Quach The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
8 Aug 2023, 9:02 pm
Continue Reading › The post FINRA Lawsuit Attorney appeared first on Investor Lawyers Blog. [read post]
8 Aug 2023, 8:55 pm
Recently, the Financial Industry Regulatory Authority (FINRA) fined LPL Financial $3M after finding that the firm allegedly failed to properly supervise its registered representatives, which placed customers at risk of suffering serious investment losses. [read post]
8 Aug 2023, 8:43 pm
This includes, potentially, suing the brokerage firm and their registered representative in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
8 Aug 2023, 11:55 am
Working with Silver Law Group, you may be able to initiate a FINRA arbitration action or a lawsuit to recover lost monies from investments in Credit Suisse SCFF. [read post]
8 Aug 2023, 11:25 am
They must ensure they are complying with FINRA rules. [read post]
7 Aug 2023, 12:43 pm
What is FINRA? [read post]
7 Aug 2023, 11:16 am
FINRA suggested that “Broker-dealers should conduct their own assessments of the implications of AI tools, based on their business models and related use cases. [read post]
7 Aug 2023, 4:51 am
Over five years ago in "FINRA Sanctions Charitable Remainder Trust Pitch" (BrokeAndBroker.com Blog / January 22, 2018), our publisher Bill Singer, Esq., applauded a well-written FINRA AWC settlement concerning the respondent registered representative's promotion of a charitable remainder trust. [read post]
7 Aug 2023, 4:51 am
The FINRA Crypto Hub-bub and William of Ockham (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
7 Aug 2023, 4:51 am
We awake this morning to headlines such as this: "Jeffrey Epstein referred Obama White House counsel to JPMorgan as potential customer" (CNBC.com by Eamon Javers, Dawn Giel, and Dan Mangan)https://www.cnbc.com/2023/08/15/jeffrey-epstein-referred-obama-white-house-counsel-to-jpmorgan.html. [read post]
7 Aug 2023, 4:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7136/securities-industry-commentator/ Bill Singer Renews Call To Boycott FINRA 2023 Elections (BrokeAndBroker.com Blog) The FINRA Crypto Hub-bub and William of Ockham (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
7 Aug 2023, 4:51 am
FINRA Arrives at Point of Insanity (BrokeAndBroker.com Blog) "Securities Industry Commentator/BrokeAndBroker.com Blog" publisher Bill Singer, Esq. sends email to FINRA Chief Executive Officer Robert Cook and FINRA Chief Legal Officer Robert Colby with Copy to Jennifer Piorko Mitchell, Office of the Corporate Secretary, FINRAEmail from Bill Singer, Esq. to Senior FINRA Executives Cites Reports of Alleged Efforts to Obtain "Votes in… [read post]
7 Aug 2023, 4:51 am
JOIN TODAY -- FREE MEMBERSHIP DOJ x SEC x CFTC x FINRA x ... [read post]
7 Aug 2023, 4:51 am
From Bill Singer, Esq.Publisher of the "Securities Industry Commentator" and "BrokeAndBroker.com Blog" As one of the founders of the NASD Dissident/Reform Movement (now the FINRA Dissident/Reform Movement), and as a member of the 1998 slate of the first four petition candidates to successfully challenge the self-regulatory-organization's process of anointing its industry Board members, I am a fervent proponent of robust, contested elections as a means of… [read post]
4 Aug 2023, 8:13 am
According to FINRA Disciplinary actions for July 2023, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
4 Aug 2023, 7:34 am
What Is FINRA Rule 9554? [read post]
4 Aug 2023, 7:16 am
FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
