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26 Aug 2017, 12:12 pm
Also worthy of notice is FINRA's bespoke sanction of restitution to the investor, who apparently wasn't all that happy with her investment.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Fan Kam Yip submitted a Letter of Acceptance, Waiver and Consent… [read post]
30 Oct 2017, 3:20 am
As today's featured FINRA expungement arbitration case demonstrates, the industry's self-regulatory-organization is in denial. [read post]
23 Oct 2014, 3:16 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, James Gregory Nixon submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Jan 2014, 10:26 am
Stewart submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accep... [read post]
20 Mar 2017, 3:28 am
Alas, FINRA just harshed the mellow a stockbroker who was stoking the fires, so to speak, of a pot biz. [read post]
6 Aug 2014, 10:41 am
Unfortunately, in the end, what one entrepreneurial stockbroker brought in was a bit of unwelcome FINRA regulation.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, David Ray Taylor submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which… [read post]
12 Apr 2018, 3:50 am
Securities and Exchange Commission / Division of Trading and Markets No-Action Letter to FINRA: Third-Party Recordkeeping Services under Rule 17a-4 (SEC No-Action Letter to FINRA / April 12, 2018) https://www.sec.gov/divisions/marketreg/mr-noaction/2018/finra-041218-17a5.pdf READ the FULL TEXT NAL.In pertinent part, the NAL states:[C]ontractual provisions that would permit, among other things, a service provider to delete or discard records in the event of… [read post]
28 Aug 2013, 3:20 am
In the Matter of the FINRA Arbitration Between Stewart Randy Lampert, Claimant, vs. [read post]
8 Aug 2016, 4:39 am
Non-FINRA Employment-Loan Lender Ordered To Arbitration By NYS Appellate Court A FINRA member firm has its sights on a well-connected trader or top producer or dynamic manager -- fill in the blanks as you will. [read post]
23 Dec 2013, 2:21 am
Caldero submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
5 Apr 2019, 10:54 am
The Statement of Claim was filed in 2016 by FINRA member firm Jefferies against associated person Gegenheimer. [read post]
27 Feb 2013, 5:47 am
FINRA has since appealed this decision to its National Adjudicatory Council. [read post]
16 Oct 2020, 11:19 am
Baily, Respondent (FINRA AWC)... [read post]
22 May 2013, 4:42 am
In the Matter of the FINRA Arbitration Between Melvin J. [read post]
1 Oct 2013, 7:30 am
According to this recent FINRA case, the sniff test is in play. [read post]
18 Nov 2013, 3:46 am
In the Matter of the FINRA Arbitration Between Wilfredo Ortiz-Aponte, Claimant, vs. [read post]
22 Feb 2017, 5:24 am
It's very frustrating to report about successful FINRA expungement cases because, in so doing, I am forced to re-publicize the names of individuals who were victimized by false accusations and, in a sense, to mitigate the benefit of having won an expungement recommendation from a FINRA arbitrator. [read post]
17 May 2013, 5:25 am
In the Matter of the FINRA Arbitration Between Suzy Asad and 1999 Suzy Asad Revocable Trust dated August 20, 1999, Claimants, vs. [read post]
14 Apr 2021, 8:00 am
Wall Street Compliance Professionals Need FINRA Like A Heart Attack (BrokeAndBroker.com Blog)Former Chase Bank Teller Charged With Bank Fraud For Targeting Older Adult Victim (DOJ Release)Maple Heights man sentenced to 39 months for elder fraud scheme (DOJ Release)Judgment Entered in SEC Insider Trading Case Involving Clinical Trial (SEC Release)SEC Obtains Final Judgement Against Connecticut Investment Adviser Who Misappropriated Funds from Clients (SEC Release)FINRA Fines… [read post]
9 Jul 2014, 9:54 am
This stockbroker wasn't named in the public customer's FINRA Arbitration Statement of Claim caption. [read post]
