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27 Jun 2019, 6:14 am
" FINRA the regulator is no... [read post]
19 Mar 2018, 3:37 am
Frequent readers of the BrokeAndBroker.com Blog know that our publisher Bill Singer, Esq. is a long-suffering critic of FINRA Arbitration. [read post]
5 Feb 2015, 2:05 am
Oh, trust me, it's a big deal and FINRA was right on top of this misconduct.Case In Point 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, Sadeer Thomas Jamil submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
4 Apr 2017, 7:07 am
READThe FINRA Thrum Of Stamping SettlementsWall Street regulation often takes on the imagery of a Kafka story. [read post]
7 Mar 2016, 2:46 am
Frank Kirk Dyer and Wells Fargo Advisors, LLC, Respondents (FINRA Arbitration 13-02939, March 3, 2016); and Wells F... [read post]
16 Apr 2014, 6:06 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, Paula Denise Downing submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Nov 2013, 6:19 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, Timothy William Stephens submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Aug 2022, 8:55 am
Bancorp Investments, Inc, Respondent (FINRA Arbitration Award)... [read post]
13 May 2013, 3:42 am
In this recent FINRA regulatory matter involving a broker-dealer/bank employee, bank customers were targeted for the purpose of accessing their signature cards.The Top TenFor 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, Henry Nguyen submitted a Letter of Acceptance, Waiver and… [read post]
22 Aug 2013, 6:50 am
The AWC asserts that Penna had no prior relevant disciplinary history with FINRA... [read post]
13 Dec 2019, 12:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4964/securities-industry-commentator/FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations (FINRA Release)Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute (BrokeAndBroker.com Blog)CFTC Awards More Than $1 Million to Whistleblower (CFTC Release)IN RE: TRIBUNE COMPANY… [read post]
21 Aug 2013, 2:32 am
Ward Financial submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
11 Sep 2014, 4:27 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, Xiao Yun Yu submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
5 Aug 2013, 4:06 am
In the Matter of the FINRA Arbitration Between Philip Lovell, Philip Lovell Pension Plan, and The Lovell Family Trusts, Claimants, vs. [read post]
23 Aug 2019, 2:07 am
FINRA Bars NYLIFE Rep Over Debit Card Expenses (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4787/finra-awc-nylife/Temptation is always there. [read post]
3 May 2019, 6:26 am
FINRA Department of Enforcement, Complainant, v. [read post]
30 Jul 2019, 9:28 am
Mesker, Jr,, Respondents (FINRA Arbitration Decision 17-02896)http://www.finra.org/sites/default/files/aao_documents/17-02896.pdfIn a FINRA Arbitration Statement of Claim filed in October 2017 and as amended, the public customer Claimants asserted breaches of contract and of fiduciary duty, and negligence/negligent misrepresentation. [read post]
30 Jul 2019, 9:28 am
FINRA Department of Enforcement, Complainant, v. [read post]
13 Aug 2014, 12:39 pm
Consider this recent FINRA settlement.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, Glen Scot Jones submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
12 Nov 2014, 2:34 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, Terence Marable submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
