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3 Feb 2020, 7:05 am
The Financial Industry Regulatory Authority (FINRA) and the Wisconsin Department of Financial Institutions Securities Division have both permanently barred him. [read post]
3 Feb 2020, 6:53 am
In November 2019 FINRA barred Eaton finding that Eaton consented to the sanction and findings that he failed to provide documents and information requested by FINRA in connection with its investigation. [read post]
3 Feb 2020, 6:53 am
Claims may be brought in securities arbitration before FINRA. [read post]
2 Feb 2020, 6:49 am
The 2020 Priorities address the following eight themes: (1) retail investors, including seniors and those saving for retirement; (2) focus areas involving registered investment advisers and investment companies; (3) information security; (4) financial technology and innovation, including digital assets and electronic investment advice; (5) focus areas involving broker-dealers and municipal advisors; (6) anti-money laundering (“AML”) programs for broker-dealers and investment companies;… [read post]
31 Jan 2020, 2:09 pm
The Applicable Rule: FINRA Rule 3110 Continue reading › The post FINRA BARS A SUPERVISOR FOR THE MISDEEDS OF ANOTHER appeared first on FINRA Lawyer Blog. [read post]
31 Jan 2020, 11:56 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
31 Jan 2020, 11:13 am
It is unclear at this time whether FINRA’s allegations concern these entities. [read post]
31 Jan 2020, 11:13 am
Claims may be brought in securities arbitration before FINRA. [read post]
30 Jan 2020, 3:25 pm
As these programs are subject to SEC and FINRA rules regarding trading activity, OCIE will investigate broker-dealers’ development, testing, implementation, maintenance, and modification of the technology that implements them. [read post]
30 Jan 2020, 7:57 am
A few months later, the Financial Industry Regulatory Authority (FINRA) suspended Owens for a year, through August 2020, for the same reasons. [read post]
30 Jan 2020, 7:57 am
FINRA’s proposed new rule (Rule 3241) would “limit any associated person of a member firm who is registered with FINRA (each a “registered person”) from being named a beneficiary, executor or trustee, or to have a power of attorney or similar position of trust for or on behalf of a customer. [read post]
30 Jan 2020, 6:42 am
It’s a good idea for investors to make sure the person selling them an investment is registered with the SEC or FINRA. [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jan 2020, 12:46 am
That may only be the start of the Respondent's ordeal.Case in PointIn a FINRA Arbitration Statement of Claim filed in September 2019, FINRA member firm Claimant Oppenheime... [read post]
30 Jan 2020, 12:46 am
In a recent FINRA arbitration, we see how this faulty system is taking on even more troubling dimensions.Sharifi v. [read post]
30 Jan 2020, 12:46 am
In the Matter of Paulson Investment Company, LLC, Respondent (FINRA AWC)Two sentenced in securities fraud conspiracy (DOJ Release)... [read post]
30 Jan 2020, 12:46 am
SEC Charges Texas Company and Its Principal in Multi-Million Dollar Ponzi Scheme (SEC Release)SEC Charges Three Men in San Diego-Based Microcap Fraud (SEC Release)FINRA Arbitrator Invokes Ineligibility Sua Sponte To Bar Expungement (BrokeAndBroker.com Blog)SEC Obtains Final Judgment Against Pyramid Scheme Promoter (SEC Release)... [read post]
30 Jan 2020, 12:46 am
Robert Juan Escobio, Respondent (FINRA OHO... [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]
