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20 Jul 2012, 6:41 am
FINRA recently released an update from Chairman/CEO Rick Ketchum summarizing recent rulemaking items considered by the FINRA Board at their July 2012 meeting. [read post]
3 Feb 2020, 12:53 pm
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. [read post]
14 Aug 2020, 10:21 am
FINRA sanctions Morgan Stanley after broker allegedly churns customer accounts. [read post]
5 Aug 2015, 3:10 pm
In addition, FINRA suspended and fined two chief compliance officers,Charles D. [read post]
2 Oct 2015, 7:44 am
Both of these firms were expelled by FINRA in 2014 and 2013, respectively, per FINRA records. [read post]
6 Jun 2018, 11:13 am
” For FINRA’s full findings see FINRA case number 2016049420501. [read post]
17 Dec 2020, 12:19 pm
FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 15, The Financial Industry Regulatory Authority (FINRA) has sanctioned 3 Cetera Firms over alleged deficiencies in supervising dually-registered representatives (DRRs). [read post]
8 Apr 2020, 11:16 am
New, NYLife Securities, Fort Wayne, IN FINRA Reportedly Bars Advisor Alan H. [read post]
14 Sep 2018, 1:35 pm
Downing from associating with any FINRA member in any capacity. [read post]
28 Aug 2012, 7:49 am
As early as 2003 FINRA sounded the alarm. [read post]
30 Nov 2021, 2:05 pm
Making A FINRA Arbitration Claim For Churning Investment-related disputes with registered brokers like Aegis must be brought to FINRA’s arbitration forum. [read post]
23 Jul 2020, 6:50 am
We represent investors in FINRA arbitration claims in all 50 states, including New York. [read post]
23 Oct 2020, 2:00 pm
The FINRA findings stated, Ms. [read post]
2 Sep 2016, 10:51 am
To grant that extraordinary remedy, the FINRA three-person panel had to find essentially that Ms. [read post]
14 Apr 2021, 1:50 am
CNN is reporting that the CEO of Robinhood is not licensed with FINRA, implies that he is required to be licensed, and that it is a "big deal" that he is not licensed.CNN is correct that absent an exemption, FINRA requires senior executives of a broker-dealer, including the CEO, to hold, as a minimum, a Series 7 and Series 24 license. [read post]
2 Jan 2015, 6:51 am
Although not strictly applicable to pure RIAs, these rules should be viewed as best practices: - FINRA Rule 2210 and NASD Rule 3010 govern the supervision of a firm's social media communications. - FINRA Rule 2111 requires that social media communications, if recommending a security, must be considered suitable for the targeted investors; and - Record keeping of all social media communications is required under FINRA Rule 4510. [read post]
4 May 2017, 12:00 am
We offer a free initial consultation to investors who may have been victimized by FINRA member broker dealers, as well as FINRA member clearing firms. [read post]
30 Apr 2013, 10:22 am
Indeed, FINRA withdrew the proposal due to industry feedback. [read post]
17 Oct 2014, 7:00 am
It is not often that a public customer is forced to pay a respondent's attorneys fees, but in a recent FINRA arbitration, that is exactly what happened.According to the description in the FINRA arbitration award it appears that a public customer, representing herself, filed a claim against UBS for unauthorized transactions, unsuitable recommendations, negligent supervision and violation of FINRA's conduct rules, requesting 2.75 million dollars in damages. [read post]
19 Feb 2015, 12:14 pm
A 3-judge appellate division panel upheld the award in October, finding that the FINRA panel did not abuse its discretion. [read post]
