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9 Nov 2017, 2:30 am
The Plaintiff feels aggrieved by FINRA's posting on its BrokerCheck web... [read post]
19 Sep 2019, 1:32 am
Federal Courts Affirm Forgiveness of Barclays Promissory Notes Repayment(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4821/barclays-notes-finra/Our publisher, Bill Singer, Esq. thinks that a FINRA Arbitration Panel and two federal courts got it right when they ruled in favor of two former Barclays employees, who were relieved of repayment of just shy of $4 million in promissory notes' balances. [read post]
20 Mar 2023, 3:55 am
SEC Tells FINRA to Raise the Gate For Ineligible Expungement Case (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam (BrokeAndBroker.com Blog) Robinhood hits class-action marketing firm with subpoena in spam text case (Bloomberg by Alison Frankel) Should FINRA stop requiring sponsorship to take the Series 7 Exam (Capital Advantage Tutoring by Kenneth… [read post]
29 May 2013, 7:51 am
Dalton submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
10 Oct 2022, 4:49 am
All of which set the stage for a 2022 FINRA regulatory settlement whereby the former SVP was fined and suspended. [read post]
28 Dec 2017, 11:00 am
Class A Mutual Fund Front-End And FINRA Back-End http://www.brokeandbroker.com/3751/finra-class-a/Today's featured FINRA regulatory settlement involves the dubious practice of short... [read post]
26 Jun 2022, 6:42 am
FINRA Report Refutes Court Finding of Fundamental Unfairness in Leggett Arbitration (BrokeAndBroker.com Blog)FINRA Arbitrators Hit Citigroup With $1.4 Million Damages For Discrimination, Harassment, and Retaliation (BrokeAndBroker.com Blog)The Report of the Independent Review of FINRA's Dispute Resolution Services -- Arbitrator Selection Process Former Stockbroker Pleads Guilty to Charges for $3.2 Million Investment Fraud, Cheating on Taxes, Defrauding Elderly Victim… [read post]
11 Dec 2014, 4:43 am
In the end, FINRA takes an intelligent and somewhat compassionate posture. [read post]
18 Feb 2019, 3:08 am
submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accept... [read post]
15 Aug 2014, 4:30 am
In the Matter of the FINRA Arbitration Between Teresa Sue Harmon, Claimant, vs. [read post]
16 Oct 2013, 7:19 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]
22 Apr 2015, 6:35 am
For FINRA, it was a violation.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 Stephen Kinnear submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Jul 2013, 3:47 am
Consider this recent FINRA case as just another example of the challenging nature of modern-day morality.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, John Rom submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
6 Sep 2014, 6:41 am
Consider this recent FINRA arbitration as an example of an employment dispute that went the distance . . . and then some. [read post]
21 Feb 2020, 1:29 am
" In a recent FINRA Arbitration, an underwriter sued to recover a success fee. [read post]
13 May 2013, 6:27 am
In the Matter of the FINRA Arbitration Between Martin Owen Teevan, Jr. [read post]
13 Sep 2013, 6:27 am
You're expecting a FINRA bang but get a whimper. [read post]
13 Jan 2014, 2:54 am
In the Matter of Michelle Lee Kern, Respondent (AWC 2013035458501, January 7, 2014).Kern was first registered with FINRA in 2002. [read post]
10 Mar 2017, 10:19 am
JP Morgan And FINRA Connect The Dots When It MattersToday's FINRA regulatory case started with a credit card. [read post]
9 Oct 2017, 4:54 am
As demonstrated in a recent FINRA regulatory settlement, Bill is once again on the warpath. [read post]
