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9 Aug 2021, 5:27 am
To Fine And Suspend Is FINRA (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6000/finra-awc-website/There is a saying that to err is human, to forgive divine. [read post]
9 Aug 2016, 10:09 am
Bill Singer has been left speechless by what he calls one of the most devastating FINRA arbitration victories won by a former employee. [read post]
29 Apr 2022, 12:40 pm
To Err Is Human, To Forgive Is Not FINRA's Concern (BrokeAndBroker.com Blog)The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512 (FINRA Unscripted)Santa Clarita Man Agrees to Plead Guilty to Securities Fraud for Bilking Investors Who Purchased Real Estate 'Coupon Bonds' (DOJ Release)Saugus Woman Sentenced to 54 Months in Prison for Scheme to Defraud Elderly Uncle of Over $490,000 (DOJ Release)Greenwich Resident Sentenced to 3 Years in… [read post]
5 Jul 2016, 2:39 am
All of which begs the questions as to just what constitutes chicken feed and how big an egg can a dissolved corporation lay during one FINRA arbitration. [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) ChatGPT and AI might have a future as your portfolio manager, study suggests (CNBC by Jesse Pound) Ronald H. [read post]
12 Jun 2013, 3:19 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, Jon Eric Guay submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Dec 2016, 9:12 am
Let's examine FINRA's PST Rule and make sure that we understand what's required. [read post]
31 Jan 2022, 2:35 am
Well, FINRA had one of those days. [read post]
1 Apr 2014, 3:17 am
In elementary school, you may get an "A" for penmanship but at FINRA you may simply get the old heave-ho. [read post]
19 Dec 2022, 3:25 am
TD Ameritrade Customer Sues Over Alleged Wrongful Margin Sell-Out (BrokeAndBroker.com Blog)FINRA Sued in the Wrong Place At the Wrong Time Affirms Federal Circuit Court (BrokeAndBroker.com Blog)FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of… [read post]
21 Jul 2014, 6:05 am
In the Matter of the FINRA Arbitration Between John Anthony Meadows, Individually and on behalf of His IRAs, Claimant, vs. [read post]
17 May 2018, 5:09 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, the Industrial and Commercial Bank of China Financial Services LLC, ("ICBCFS")submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
22 Jan 2014, 2:38 am
And, just as usual, FINRA comes down on the lowly sales assistant when things go awry.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, Magnolia Gaerlan submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
14 Jun 2019, 6:19 am
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4653/FINRA-My-Way/As kids, we spent countless hours arguing over very, very profound things like what would happen if an unstoppable force hit an immovable object; or could God create something too heavy for him to lift; or, could Superman get gas and, if so, would he fart, and, if so, could his gaseous explosion kill a bystander. [read post]
4 Jul 2013, 7:12 am
Okay, so FINRA barred a welfare cheat. [read post]
11 Oct 2013, 3:37 am
It's never fair to rush to judgment; however, when it comes to disclosing civil judgments, FINRA does have a ticking clock. [read post]
13 Jun 2016, 3:17 am
FINRA's Arbitration Code requires that arbitration awards present a "summary of the issues. [read post]
23 Oct 2020, 3:31 am
Burke, Respondent (FINRA AWC)FINRA Fines and Suspe... [read post]
5 Nov 2013, 4:25 am
Book submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
9 Feb 2017, 2:26 am
FINRA is now headed by new CEO Robert Cook. [read post]
