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4 Sep 2019, 12:32 pm
According to the Financial Industry Regulatory Authority (FINRA), the regulator reportedly barred Coburn from association with any FINRA member in all capacities after he reportedly failed to provide information in FINRA’s investigation; therefore, according to FINRA, he is automatically barred from association with any FINRA member in all capacities. [read post]
3 Dec 2017, 9:38 am
Claims may be brought in securities arbitration before FINRA. [read post]
21 Aug 2019, 12:23 pm
For FINRA’s full findings, see FINRA Case #2016050947701. [read post]
10 May 2018, 11:10 am
FINRA reportedly requested that Knee appear for on-the-record testimony in connection with an ongoing FINRA investigation. [read post]
6 Nov 2017, 7:33 am
For FINRA’s full findings, see FINRA case number2016048424901. [read post]
14 Sep 2015, 5:34 am
Per FINRA, Mr. [read post]
8 Oct 2014, 6:02 am
According to FINRA, Mr. [read post]
15 Feb 2021, 12:49 pm
For FINRA’s full findings see FINRA Case NO. [read post]
19 Feb 2021, 1:06 pm
For FINRA’s full findings see FINRA Case NO. 2020066246901. [read post]
14 Apr 2011, 12:37 pm
On Monday, April 11, 2011, the Financial Industry Regulatory Authority (FINRA) announced that UBS had accepted and consented to a settlement deal in which UBS would pay a fine of $2.5 million and restitution in the amount of $8.25 million to certain investors for its misconduct regarding Lehman Brothers 100% Principal-Protection Notes sold by UBS. [read post]
30 Mar 2016, 4:37 pm
Now here’s your top 10: FINRA’S Ability To Enforce Securities Act Violations Subject To Compelling Court Challenge – Chicago lawyer Alan Wolper... [read post]
3 Mar 2010, 6:39 am
Financial Industry Regulatory Authority (FINRA) Trade Reporting and Compliance Engine (TRACE) will now include debt issued by federal government agencies, government corporations and government-sponsored enterprises as well as primary market transactions in new corporate debt issues. [read post]
9 Jul 2012, 12:50 pm
Bloomberg reports that the Financial Industry Regulatory Authority (FINRA) summarily removed from its roster three arbitrators who served together on a case in which the investor was awarded more than $500,000 and has refused to even discuss the matter with the arbitrators, despite the absence of any impropriety. [read post]
14 Aug 2019, 7:21 am
He prepares a monthly update on FINRA (and selected SEC) regulatory matters at a glance, focusing on what compliance officers need to know. [read post]
6 Mar 2011, 6:16 pm
A federal district court judge’s decision a few weeks ago to issue a TRO to enjoin several FINRA arbitrations against Securities America so as to preserve the broker-dealer’s assets to pay a class action settlement reached in the district court has drawn a lot of media coverage. [read post]
14 Dec 2015, 11:39 am
For the full findings, see FINRA Case #2011028071901. [read post]
22 Jul 2014, 10:20 am
For the full findings, see FINRA Case #2011026425501. [read post]
18 Jun 2014, 1:24 pm
For the full details of FINRA’s investigation, see FINRA Case #2011025438901. [read post]
18 Jun 2014, 12:54 pm
For the full details of FINRA’s investigation, see FINRA Case #2011027329601. [read post]
16 May 2016, 10:53 am
For the full FINRA findings, see FINRA Case #2015044007001. [read post]
