Search for: "Finra"
Results 5961 - 5980
of 18,149
Sorted by Relevance
|
Sort by Date
7 Oct 2010, 11:30 am
All balances are payable to FINRA Dispute Resolution and are due upon receipt. [read post]
25 Aug 2022, 8:41 am
Update on Investigation: FINRA reportedly bars James Dunn after 22 Customer Complaints According to public records, the Financial Industry Regulatory Authority (FINRA) reportedly barred financial advisor James William Dunn Jr. [read post]
12 Apr 2018, 10:08 am
Additionally, FINRA’s rule 2010 requires that FINRA members always observe high standards of commercial honor and just and equitable principles of trade. [read post]
27 Jul 2016, 10:21 am
According to reports, Craig McCann, owner of Securities Litigation and Consulting Group (SLCG), and a noted FINRA expert witness, reported on LinkedIn that FINRA data has found that bad brokers concentrate in bad brokerage firms. [read post]
3 Aug 2007, 4:41 pm
FINRA is the former NASD, plus the NYSE regulatory unit, and is the primary regulator of the securities industry. [read post]
28 Nov 2017, 3:34 am
In Notice to Members 17-38, FINRA has put out for comment a change to Rule 3110 that would allow the remote inspection of certain “qualifying offices” as that term is defined by FINRA. [read post]
22 Sep 2017, 12:05 pm
FINRA Doesn't Like Dinar Time http://www.brokeandbroker.com/3604/finra-awc-dinar/Sometimes, ten people read the same thing but only one spots the typo or notices an inconsistency. [read post]
22 Jan 2018, 4:38 am
FINRA Fines Firm Over Research Reports Practices (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3791/finra-research-awc/Today's BrokeAndBroker.com Blog presents a concise regulatory settlement from FINRA about research reports violations. [read post]
16 May 2013, 6:08 am
FINRA arbitration Decisions tend to be unanimous, but, with increasing frequency, we are seeing decisions by two of three arbitrators -- and there has been an increasing number of written dissents published. [read post]
4 Jun 2018, 3:41 am
2 Lies To FINRA Add Up To 1 Bar (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4007/finra-otr-pst/With some folks, it just seems that their luck runs out. [read post]
27 Mar 2023, 4:05 am
FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code (BrokeAndBroker.com Blog) FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS Employee (BrokeAndBroker.com Blog) Ronald H. [read post]
4 Dec 2017, 3:48 am
Widow Lacks Standing In FINRA Arbitration Involving Husband's IRA http://www.brokeandbroker.com/3711/widow-ira-finra/It's another day in the Compliance Department on Wall Street and the mail has just arrived. [read post]
27 Sep 2013, 2:59 am
According to this recent FINRA case, the sniff test is in play. [read post]
2 Jan 2015, 4:57 am
FINRA's rule against customer loans is typically a scenario where a registered rep borrows money from a customer. [read post]
23 Oct 2020, 3:31 am
FINRA Turns 300 Orally Authorized Trades Turn Into 300 Trades Of Unauthorized Discretion (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5511/finra-awc-time-price/In the hurry-up world of Wall Street, profits are often measured in seconds. [read post]
28 Feb 2022, 3:42 am
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
23 Dec 2014, 9:33 am
In the Matter of the FINRA Arbitration Between Mel H.... [read post]
19 Dec 2019, 12:57 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4974/securities-industry-commentator/FINRA Sanctions Stockbrokering Paper Pushing Lawyer (BrokeAndBroker.com Blog)FINRA Sanctions Five Firms for Failing to Reasonably Supervise Custodial Accounts / Firms Did Not Know Essential Facts About Customers With Custodial Accounts Established Pursuant to the Uniform Transfers to Minors Act (UTMA)… [read post]
24 Dec 2020, 3:37 am
Moving the Goal Line In a FINRA Expungement Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5608/finra-jethmal-expungement/We're in a high-stakes football game. [read post]
13 Apr 2018, 2:32 am
Be that as it may, we have a ten-year-long pattern of conduct that FINRA doesn't quite like. [read post]
