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11 Dec 2009, 8:56 am
Hopes for a more streamlined regulatory system for dual registered investment advisers and brokers at brokerage firms were dashed today as the House of Representatives has killed the proposal to have FINRA regulate investment advisers who are also registered representatives as a brokerage firm. [read post]
30 Oct 2018, 8:49 am
Kittlaus has not been associated with Alliance for over ten years and has already been suspended by FINRA, FINRA notes. [read post]
2 Aug 2021, 9:39 am
Four of the customers were reportedly over the age of 60 and seven of the customers invested retirement funds in the BDC, according to FINRA. [read post]
23 Aug 2014, 10:07 am
FINRA found that Bucci’s conduct violated NASD Rules 2370 and 2110 and FINRA Rules 3240 and 2010. [read post]
4 Apr 2024, 4:00 am
On March 6, the SEC released its long-anticipated adopting release amending Rule 605.[1] Separately, in late February, FINRA issued Regulatory Notice 24-05 discussing new FINRA Rule 6151, which requires member firms to provide Rule 606 reports to FINRA. [read post]
23 Jun 2014, 11:44 am
According to a FINRA disciplinary actions announcement, Jeremy Gerald Tintle (CRD #2817173, Hawley, Pennsylvania) recently submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. [read post]
26 Feb 2015, 6:39 am
FINRA found that Evans received commissions totaling $79,500 from GSL from these sales. [read post]
12 Aug 2020, 4:00 am
A violation of FINRA Rule 2111 also constitutes a violation of FINRA Rule 2010. [read post]
21 Feb 2023, 9:44 am
FINRA Rule 3110 Failure to Supervise Laidlaw and Company’s supervisory system was reportedly not reasonably designed to achieve compliance with FINRA rules governing private placement due diligence in violation of FINRA Rule 3110. [read post]
8 Jan 2014, 5:37 am
Selling away violates a number of securities laws including FINRA Rule 3040. [read post]
17 Jan 2020, 8:39 am
We represent investors in FINRA arbitration claims in all 50 states, including New Jersey. [read post]
7 Aug 2013, 7:01 am
A read of the FINRA complaint indicates that the focus of FINRA’s investigation and their issue with Mr. [read post]
20 Dec 2013, 7:59 am
Selling away violates a number of securities laws including FINRA Rule 3040. [read post]
11 Sep 2018, 10:24 am
This case reportedly represents FINRA’s first disciplinary action involving cryptocurrencies. [read post]
8 Apr 2015, 3:17 pm
FINRA found that on August 23, 2012, the investor purchased 4,750 shares of preferred My Coupon Genie stock for $990,000. [read post]
8 Jul 2014, 6:17 am
” FINRA determined that S.G. [read post]
7 Feb 2014, 6:42 am
FINRA alleged that investors were not made aware of the risks of investing in the STI Notes. [read post]
21 Jan 2021, 6:58 am
For FINRA’s full findings see FINRA Case NO. 2017054137002. [read post]
5 Jan 2021, 12:16 pm
The firm settled with FINRA but without denying or admitting to its findings. [read post]
24 Aug 2020, 4:12 pm
According to FINRA, the organization oversees over 624,000 brokers across the U.S. and it analyzes billions of market events every day…” [read post]
