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1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
30 Apr 2024, 7:06 pm
He left after his former customers filed more than a dozen FINRA lawsuits. [read post]
30 Apr 2024, 5:41 am
” Among the risks identified by FINRA are the lack of liquidity, and that an investor may lose some or all of their principal on the happening of an ill-defined (and supposedly unlikely) event in the future. [read post]
29 Apr 2024, 1:40 pm
Egber, who currently works at Egber-Lopez Investment Group, accepted FINRA’s findings without admitting or denying them, according to FINRA. [read post]
29 Apr 2024, 5:52 am
By Anne Sherry, J.D.Two crypto industry groups are suing the SEC over the agency’s Dealer Rule, which requires market participants who perform dealer functions to register with the Commission and join FINRA and the SIPC. [read post]
22 Apr 2024, 1:15 pm
According to FINRA Disciplinary actions for April 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
22 Apr 2024, 12:35 pm
What Is FINRA Rule 9554? [read post]
22 Apr 2024, 11:39 am
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
20 Apr 2024, 9:05 pm
The FINRA Board oversees and provides advice and guidance to management in its administration of FINRA’s affairs. [read post]
19 Apr 2024, 7:15 pm
The case, filed in FINRA Arbitration, alleges that the B. [...] [read post]
19 Apr 2024, 2:04 pm
According to FINRA Disciplinary actions for April 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Vinessa Christian UBS Financial Services Inc. [read post]
19 Apr 2024, 1:43 pm
According to FINRA Disciplinary actions for March 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Gabriela Alfaro Charles Schwab & Co., Inc. [read post]
19 Apr 2024, 1:34 pm
According to FINRA Disciplinary actions for March 2024, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
19 Apr 2024, 1:23 pm
What Is FINRA Rule 9554? [read post]
19 Apr 2024, 9:27 am
April 19, 2024 Clients, Friends, and Associates: As we end the first quarter and enter the spring season, we would like to highlight some of the recent industry updates and occurrences we found to be both interesting and impactful. [read post]
19 Apr 2024, 8:47 am
., a Chicago-based securities, investment fraud, and investor rights law firm that offers victims representation on a contingency fee basis nationwide, continues to file FINRA Arbitration cases for aggrieved investors who have lost money in structured notes. [read post]
18 Apr 2024, 1:26 pm
Our firm has handled over 700 FINRA arbitration claims on behalf of investors. [read post]
16 Apr 2024, 3:28 pm
The post FINRA Fines Stifel Nicolaus Nearly $3M for Non-Traditional ETF Failures appeared first on Stoltmann Law. [read post]
16 Apr 2024, 1:32 pm
Our firm has handled over 700 FINRA arbitration claims on behalf of investors. [read post]
15 Apr 2024, 6:45 pm
In her FINRA lawsuit, this retiree is alleging unsuitability, negligence, misrepresentations and omissions, breach of fiduciary duty, gross negligence, due diligence failures, breach of contract, failure to supervise, and unjust enrichment. [read post]
