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12 Jul 2017, 12:02 pm
Claims may be brought in securities arbitration before FINRA. [read post]
18 Jun 2014, 1:04 pm
For the full details of FINRA’s investigation, see FINRA Case #2012034594402. [read post]
23 Jun 2014, 11:31 am
For the full findings, see FINRA Case #2011029928701. [read post]
5 Dec 2016, 1:29 pm
For FINRA’s full finding see FINRA Case #2014039091903. [read post]
23 Mar 2021, 11:00 am
For FINRA’s full findings see FINRA case number 2020065534801. [read post]
20 Dec 2022, 9:11 am
FINRA Investigation involving John Matson, LPL Financial According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has barred financial advisor John Nicholas Matson (CRD#: 1796541) from associating with any FINRA member at any time after he failed to provide information in its investigation. [read post]
13 Jul 2021, 8:42 am
FINRA Reportedly Suspends Advisor Stuart Pearl after Allegations of Unsuitable ETF Recommendations According to public records posted on July 1, 2021, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended Stuart L. [read post]
1 Mar 2022, 9:45 am
FINRA further found that between May 15, 2018 and July 30, 2018, he purportedly loaned a total of $13,703 to one customer and allegedly made false statements to FINRA. [read post]
4 Sep 2020, 12:15 pm
Peter Ianace, Wells Fargo, Plano, TX FINRA bars Peter Ianace after he Failed to Provide Testimony in its Investigation According to public records this week, the Financial Industry Regulatory Authority (FINRA) has reportedly barred financial advisor Peter Ianace (CRD#: 3238078) after he failed to provide information in connection with FINRA’s investigation into Ianace’s potential failure to disclose outside business activities to his member firm. [read post]
30 Oct 2017, 7:18 am
In July 2017, Gott agreed to the suspension and FINRA published its findings. [read post]
13 Jan 2018, 2:06 pm
Kejaun Yang, a registered representative from Woodside, New York, formerly with T3 Trading Group, was suspended from FINRA membership as a result of an investigation into her participation in private securities transactions without obtaining her firm’s prior approval, which is a violation of FINRA rules. [read post]
23 Jan 2017, 4:55 pm
FINRA also requests comments on any related matters for which it would be appropriate to consider additional guidance, consistent with the principles of investor protection and market integrity, based on DLT applications and their implications for FINRA rules. [read post]
30 Jul 2017, 1:48 pm
In July, 2017, a FINRA arbitrator panel sitting in New York, NY issued a $2.6 million binding arbitration award against Northeast Securities a FINRA registered broker dealer. [read post]
30 Oct 2017, 7:23 am
Jason Likens, a registered representative from Asheville, North Carolina, formerly with International Assets Advisory, LLC, was suspended from FINRA membership as a result of an investigation into his borrowing money from customers without obtaining firm approval, which is a violation of LPL and FINRA rules. [read post]
9 Feb 2015, 4:33 am
FINRA noted in its exam priorities that it will be focusing on firms’ compliance with the new supervision rules (FINRA Rules 3110, 3120, 3150 and 3170). [read post]
1 Mar 2019, 8:46 am
The SIE Exam, which tests a FINRA registration applicant’s knowledge of securities-related topics, was launched to simplify FINRA’s qualification examination program after the program’s efforts to address new securities products and services resulted in FINRA offering multiple exams with immense content overlap. [read post]
28 Oct 2019, 9:28 am
Pica purportedly provided false or misleading information to FINRA staff during FINRA’s examination of Joseph Stone’s branch office on May 15 and 16, 2019. [read post]
4 Aug 2014, 6:26 am
Through this conduct, FINRA found that Nevin violated NASD Conduct Rules 3040 and 2110. [read post]
1 Aug 2019, 10:23 am
For FINRA’s full findings see FINRA No. 2017056440501. [read post]
6 Mar 2015, 10:23 am
FINRA alleged that Green’s recommendations in his bear strategy caused a concentration in that strategy including penny stocks. [read post]
