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24 Jan 2020, 4:10 am
Wills, Respondent (FINRA AWC 2017056557101) https://www.finra.org/sites/default... [read post]
24 Jan 2020, 4:10 am
The Widow, Her Stockbroker, and Her Loans and Gifts to Him (BrokeAndBroker.com Blog)SEC Charges Wisconsin Broker with Defrauding Retail Investors (SEC Release)Court Enters Judgment That Significantly Modifies and Extends Consent Decree With Live Nation/Ticketmaster / Amended Final Judgment Extends by Five and a Half Years the 2010 Live Nation/Ticketmaster Final Judgment; Live Nation to Pay Costs and Fees to American Taxpayers for Enforcement (DOJ Release)The Department of Justice Files Actions… [read post]
24 Jan 2020, 4:10 am
What happens to the FINRA sanctions during the pendency of the appeal to the federal regulator? [read post]
24 Jan 2020, 4:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5036/securities-industry-commentator/Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5035/securities-industry-commentator/FINRA Ordered to Produce Public Relations Firm's Communications in Brummer Defamation Case. [read post]
24 Jan 2020, 4:10 am
SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund (SEC Release)SEC Denies Stay of FINRA Expulsion Over Annual Audit Report (BrokeAndBroker.com Blog)Florida Criminal Defendant to Serve Additional Prison Time for Lying on Pre-Sentencing Financial Disclosure Form / Concealed Assets, Including a Boat, Mercedes, and Cash (DOJ Release)Former Rochester Man Charged In Multi-Million Dollar Ponzi Scheme (DOJ Release)Wisconsin Accountant Found Guilty of… [read post]
23 Jan 2020, 4:15 pm
For some time, FINRA has allowed stockbrokers to suppress complaints from their record through an expungement process. [read post]
23 Jan 2020, 2:05 pm
FINRA Broker Disciplinary Action Report: January 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
23 Jan 2020, 1:53 pm
FINRA & SEC Warnings about Cyber-ThreatsAt the Financial Industry Regulatory Authority (FINRA) cyber-security conference in New York, FINRA, the Securities and Exchange Commission (SEC), and the National Futures Association stated that cyber threats on numerous fronts, including but not limited to external phishing and ransom-ware assault and resentful ex-staffs and poor security control have persisted in brokerage firms.Salvator Montemarano, one of the inspectors in… [read post]
23 Jan 2020, 12:51 pm
Strugano was barred by the Financial Industry Regulatory (FINRA) earlier this month. [read post]
23 Jan 2020, 6:18 am
Merrill Lynch Recommended Puerto Rican bonds to the former MLV player According to a FINRA award posted Tuesday, a 3 person FINRA arbitration panel ruled that Merrill Lynch will pay Angel and Windy Pagan $1.7 million in compensatory damages and $88,758 in costs in connection with Puerto Rican bond losses. [read post]
23 Jan 2020, 5:00 am
The Financial Industry Regulatory Authority (FINRA) regulates OTC markets under the supervision of the Securities and Exchange Commission (SEC),[2] meaning in the United States an FTT could include OTC transactions in its base. [read post]
21 Jan 2020, 12:12 pm
FINRA says in the AWC that the firm did compensate the clients who were disadvantaged by the two brokers. [read post]
21 Jan 2020, 10:49 am
According to public records on FINRA’s website, the regulator barred Petrillo from association with any FINRA member in any capacity. [read post]
21 Jan 2020, 7:07 am
For further information and examples of BSA penalties against broker-dealers and MSBs: Call 518-692-2494 or email info@currincompliance.com[1]Regulators FinCEN, Department of Justice, SEC, FINRA, FTC and the Southern District of New York have fined broker-dealers, MSBs, and company executives for failure to file SARs for questionable transactions by investment advisors, fraudulent dealings by agents, inadequate agent oversight. [read post]
20 Jan 2020, 5:30 am
”Berry also notes that white males still make up the largest numbers of the arbitrators in FINRA’s arbitration forum.As of the end of December, FINRA had 7,839 arbitrators. [read post]
20 Jan 2020, 5:25 am
”Previous Reports and SimilaritiesThe research proved that 32% of the country invested in non-retirement accounts, a rise of only 2% from a synonymous FINRA survey executed in 2015. [read post]
20 Jan 2020, 5:19 am
FINRA COMPENSATES WIDOW SCAMMED BY ADVISORA FINRA panel committee has ordered the National Planning Corporation to give over $2.6 million to an 84-year-old woman who was sold false promissory notes.In a September 2017 petition, Sandra Alford of St. [read post]
18 Jan 2020, 7:57 am
As previously mentioned, taking a Series 7 or 82 exam assumes that such an individual is employed by a FINRA member firm. [read post]
17 Jan 2020, 4:35 pm
Investors in Lightstone Value Plus REIT V (“Lightstone V”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
17 Jan 2020, 11:02 am
William Glaser, who was fired by National Planning and barred by FINRA in 2017, is currently in prison for wire fraud. [read post]
