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20 Feb 2015, 4:07 am
It may also be one of the last -- if not the last -- to sneak in under the FINRA Rule 2081 deadline. [read post]
4 Mar 2018, 5:39 am
Bill Singer Esq Comments on FINRA Notice To Members 18-08: Outside Business Activities (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3857/bill-singer-oba-pst/FINRA should not require registered persons to notify their member firms of a mere “intention” or “preparation” to open their own BD or RIA. [read post]
13 Dec 2019, 12:38 am
Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4969/finra-fiorilla-arbitration/Imagine that you win an $11 million award in a FINRA arbitration against a humongous firm like Citigroup. [read post]
16 Jun 2014, 10:19 am
In the Matter of Nicholas Harris Shermeta, Respondent (AWC 20070188016-01, June 10, 2014).In 1993, Shermeta first registered with a FINRA member firm, an... [read post]
22 Oct 2013, 10:39 am
Nobile submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Mar 2014, 6:25 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, David Eckess submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
7 Nov 2020, 3:38 am
Read on.Federal Court Dismisses Challenge to Six Year Old FINRA AWC (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5533/cashmore-finra-awc-wdny/Today's blog features a 2012 FINRA AWC. [read post]
13 Aug 2022, 8:55 am
FINRA Arbitration Panel Finds TD Ameritrade Grossly Negligent With Form U5 (BrokeAndBroker.com Blog)Federal Court Finds SEC Approval of FINRA Reporting Requirements "Arbitrary and Capricious" -- Cites Cost of FINRA Build-OutBloomberg L.P., Petitioner, v. [read post]
1 Nov 2013, 10:21 am
Amakwe submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
14 Feb 2019, 1:48 am
E*Trade Securities LLC, Respondent (FINRA Arbitration Decision 18-02428 / February 21, 20... [read post]
28 Feb 2022, 3:42 am
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
23 Apr 2021, 3:54 am
Pullman, Respondent (FINRA AWC)... [read post]
19 Jul 2016, 12:00 am
Individuals who are dually registered as both individual investment advisor representatives as well as registered representatives of a FINRA member brokerage firm are linked to FINRA’s separate BrokerCheck System and their FINRA related results will also appear when conducting a search for an individual investment advisor representative. [read post]
19 Oct 2018, 6:47 am
Frumento, Partner, Stern Tannenbaum & BellGuest Blog: FINRA Dictator of Dispute Resolution by Dochtor D. [read post]
21 Nov 2019, 8:42 am
In the Matter of Rochelle Shoulders, Respondent (FINRA AWC 2017056393301)In the Matter of the Application of Thaddeus J. [read post]
25 Jul 2022, 4:10 am
Securities America, Inc., et al., Respondents (FINRA Arbitration Award)District-Based Financial Services Professional Pleads Guilty to Federal ... [read post]
31 May 2018, 7:52 am
Appoint a FINRA Arbitrator who was on top of her game. [read post]
11 Jan 2019, 3:21 am
The sole FINRA Arbitrator recommended expungment of the complaint after ... [read post]
14 May 2013, 3:31 am
Stockman submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Apr 2019, 1:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4564/securities-industry-commentator/"Protecting Investors from Misconduct / FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct" (FINRA Regulatory Notice 19-17) Bottle of White, Bottle of Red, Perhaps An… [read post]
