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22 Feb 2011, 10:15 am
Another interesting FINRA statistic is over 70% of arbitration claims resolve with an award for the claimant. [read post]
31 May 2012, 1:31 pm
Second, NASAA suggested that FINRA codify a process whereby state regulators who may want to object to expungement are provided notice, even when FINRA intends to grant a waiver request. [read post]
31 Jul 2019, 11:40 am
Said Dispute was filed on January 21, 2010, FINRA reports. [read post]
31 Jul 2019, 11:40 am
Said Dispute was filed on January 21, 2010, FINRA reports. [read post]
19 Apr 2021, 11:07 am
They must ensure they are complying with FINRA rules. [read post]
2 Sep 2014, 9:13 am
Great American has been a registered firm with FINRA since 1994. [read post]
15 Mar 2023, 7:20 am
As a result, the firm allegedly violated FINRA Rules 3110(a). [read post]
10 Aug 2022, 8:54 am
On May 24, 2022, FINRA reportedly sent a request to Taliaferro for information and documents. [read post]
17 Aug 2022, 9:30 am
FINRA Reportedly Suspends Daniel Minich for Allegations of Selling Away from the Firm According to public records, the Financial Industry Regulatory Authority (FINRA) has reportedly reached a settlement agreement with financial advisor Daniel T. [read post]
10 Nov 2021, 6:25 am
LOUIS, MO Since 2015, Hines has had five customer complaints filed against her, according to FINRA. [read post]
15 Jun 2022, 1:34 pm
FINRA Bars Anthony “Tony” Liddle after he Failed to Provide Information in its Investigation According to a Letter of Acceptance Waiver and Consent on June 14, the Financial Industry Regulatory Authority (FINRA) has barred Anthony “Tony” Liddle (CRD#: 5478479) from associating with any FINRA member at any time after Liddle reportedly refused to provided information in its investigation. [read post]
10 Nov 2021, 6:25 am
LOUIS, MO Since 2015, Hines has had five customer complaints filed against her, according to FINRA. [read post]
11 Jul 2022, 11:29 am
FINRA Bars William “Ed” Torriente, Comerica Securities, after Allegations of Unauthorized Trading According to a Letter of Acceptance Waiver and Consent on July 6, the Financial Industry Regulatory Authority (FINRA) has reportedly barred William “Ed” Torriente (CRD#: 4255814) after he refused to appear for and provide on-the-record testimony requested by FINRA in connection with its investigation into the allegations contained in a… [read post]
15 Feb 2021, 2:03 pm
Many Brokerage CEOs Are Not FINRA-Registered Unfortunately, Tenev’s lack of FINRA registration is not an exception, but the industry norm. [read post]
9 Aug 2018, 12:50 pm
Last week, Malecki Law filed an amended FINRA arbitration complaint against Securities America on behalf of victims claiming that the broker-dealer’s inadequate supervision over its registered representative, Hector May, permitted his alleged Ponzi Scheme to happen. [read post]
10 Jun 2024, 8:26 pm
FINRA Foundation Finds Consumers Are Not Sold on AI for Financial Advice FINRA Foundation recently released the results of a survey that examined how comfortable consumers are with using artificial intelligence (AI) for financial information. [read post]
15 Jan 2013, 3:40 am
FINRA just published Regulatory Notice 13-02, seeking comments on a proposed rule to require disclosure of “conflicts of interest” relating to recruitment compensation practices. [read post]
22 Jul 2014, 10:23 am
For the full findings, see FINRA Case #2011027666902. [read post]
16 Jun 2020, 6:21 am
Merrill had already reimbursed the clients as a result of an internal review and had self-reported the underlying violations to FINRA, a move that earned praise from FINRA in the AWC. [read post]
23 Mar 2021, 12:51 pm
According to his broker profile, FINRA barred Merhoff from working in the securities industry in June 2019. [read post]
