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20 Jan 2019, 7:57 am
In December 2018 FINRA alleged that Hellman consented to the sanction and to the entry of findings that he failed to provide FINRA with requested documents and information during its investigation. [read post]
26 Feb 2019, 6:24 am
In August 2018 Levine was discharged from First Financial due to FINRA’s inquiry into his activities. [read post]
11 Jun 2018, 10:59 am
According to FINRA Travers consented to the sanction and bar due to the fact that he refused to appear and provide FINRA with testimony in connection with their investigation into potential undisclosed outside business activities and private securities transactions. [read post]
20 Jan 2019, 11:25 am
FINRA also found that the company paid $124,250 in commissions to an entity controlled by McCaffrey’s wife. [read post]
23 Jul 2018, 2:11 pm
While consenting to the entry of FINRA’s findings, Fifth Third Securities neither admitted nor denied the charges against it. [read post]
10 Aug 2017, 9:26 am
For FINRA’s full findings see FINRA Case #2016052332801. [read post]
17 Jan 2018, 6:21 am
FINRA found that Royster consented to the sanction and findings that he refused to comply with a FINRA request for documents related to its investigation into the circumstances surrounding his termination from HD Vest. [read post]
10 Aug 2017, 9:28 am
For FINRA’s full findings see FINRA Case #2016050259001. [read post]
19 Feb 2019, 1:09 pm
FINRA found that Kestra did not apply these waivers when clients were eligible. [read post]
5 Apr 2023, 7:14 pm
FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
22 Mar 2011, 7:28 am
Keeping up his annual report on securities regulatory litigation before FINRA and the SEC, Sutherland attorney Brian Rubin, a former colleague of mine at NASD (n/k/a FINRA), together with Jae Yoon, recently released their study on whether it pays to take on the regulators. [read post]
31 Mar 2009, 1:37 am
A FINRA arbitration panel hit Merrill for 39.8 million dollars for a claim arising from it's Advest brokerage unit.According to InvestmentNews.com, the award arises from conduct at Advest before Merrill's purchase of the firm, but the award is against Merrill.Under FINRA rules Merrill will have to pay or appeal within 30 days.While this is on a completely different scale, I keep telling clients that buying a brokerage firm in fraught with risk, since you are responsible… [read post]
3 May 2019, 6:41 am
Consequently, FINRA has apparently barred him from working in the securities industry. [read post]
6 Feb 2019, 12:44 pm
” For FINRA’s full findings, see FINRA case # NO. 2015046378601. [read post]
3 Jan 2014, 8:44 am
Saxony has been registered with FINRA since 2002. [read post]
17 Oct 2016, 7:11 am
For FINRA’s full finding see FINRA Case #2012032950101. [read post]
12 Jan 2018, 7:44 am
” For FINRA’s full findings see FINRA case number 2015045518901. [read post]
8 Jul 2020, 1:09 am
Filing a Complaint against your Brokerage Firm We represent investors in FINRA arbitration claims in all 50 states. [read post]
16 Oct 2023, 7:08 am
The FINRA claim seeks damages in an amount between $1,000,000.01 and $1,500,000. [read post]
11 Jan 2019, 10:20 am
Carver are obligated to report within thirty days or they are violating FINRA By-Laws along with FINRA Rule 1122 and FINRA Rule 2010. [read post]
