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14 Nov 2014, 3:25 am
How do those two roles combine into a FINRA regulatory matter? [read post]
18 Sep 2017, 5:10 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in M... [read post]
16 Apr 2020, 6:00 am
FINRA AWC Has Potential Precariously Perched Atop Conjecture and Speculation (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5185/finra-awc-principal-cannabis/Among the more asinine allegations in a recent FINRA AWC is that a financial professional needed to tell another financial professional that there are "challenges" in entering into a deal involving the cannabis industry. [read post]
2 May 2016, 10:07 am
To say that a recent FINRA regulatory settlement – or two settlements, to be precise – perplexes me would be a gross understatement. [read post]
20 Jun 2016, 9:28 am
If you read through today's FINRA arbitration commentary by Bill Singer, you will come across what seems a fairly mundane employment dispute between former employee Bell and his former employer Wedbush, with Bell seeking at least $1.25 million in damages. [read post]
8 Jan 2021, 7:30 am
Hoffman (SEC Release)FINRA Fines and Suspends Rep for Preparing Tax ReturnsIn the Matter of Robert Leslie Mandau, Respondent (FINRA AWC)Securities Industry Commentator: A... [read post]
31 Mar 2021, 9:30 am
Your firm's compliance department or FINRA says what you did or didn't do was a violation. [read post]
1 Jun 2015, 5:34 am
A recent FINRA regulatory settlement seems to have gotten it right. [read post]
1 Jul 2015, 3:16 am
I mean, you know, just what exactly does FINRA do when the shoe is on the other foot? [read post]
6 Feb 2015, 5:00 am
" For starters, just because the account is not in your name doesn't mean that it won't be considered subject to FINRA's Away Account rules. [read post]
14 Oct 2016, 2:16 am
Submitted for your consideration is a FINRA Arbitration between a public customer and industry parties. [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes / Firms Failed… [read post]
14 May 2021, 4:09 am
Brokers International Financial Services, LLC and Mark Christopher Perry, Respondents (FINRA Arbitration Award)Human Resources Manager Pleads Guilty to Defrauding Employer Through Payroll and COVID-19 Testing Schemes (DOJ Release)CEO of San Diego Startup Sentenced for Bilking more than $1.5 Million from his Company (DOJ Release)CFTC Orders Connecticut Firm to Pay $500,000 for Wash Sales (CFTC Release)Zoom Arbitration One Year Later: Lessons Learned, Tips for Practitioners and the Road Ahead… [read post]
22 Feb 2017, 5:31 am
The Dead Customer, Her Son, Trading Losses, And Stockbroker's ExpungementIt'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]
10 Apr 2023, 4:02 am
FINRA Arbitration In a FINRA Arbitration Statement of Claim filed in June 2022, public customer Claimant Ilich-Ernst asserted suitability, breach of regulatory requirements, breach of fiduciary duty, negligence and gross negligence, breach of contract, selling away, and fraud.In the... [read post]
14 Nov 2022, 3:08 am
You got a whopping amount of interest.Case in PointIn a FINRA Arbitration Statement of Claim filed in December 2021, FINRA member firm Newbridge Securities Corp. asserted indemnification and breach of cont... [read post]
2 Apr 2016, 4:09 am
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in DATE, In the Matter of the FINRA Arbitration Between CLAIMANT, Claimants, vs. [read post]
31 Jan 2014, 2:10 am
Brooks submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 May 2020, 4:55 am
For whatever reasons, the customer appealed the FINRA Award to federal court. [read post]
6 May 2022, 2:02 pm
Federal Court Puts A Second Fork In Schottenstein FINRA Arbitration and Says It's Done And Done (BrokeAndBroker.com Blog)Former FBI Director Airs Warning About Elder Fraud / Public Service Announcement Reminds Seniors and Their Loved Ones to Be Vigilant "A 'New' New Era:" Prepared Remarks Before the International Swaps and Derivatives Associ"ation Annual Meeting by SEC Chair Gary GenslerMan Sentenced for Stealing from PayPal Accounts in Wire Fraud Scheme (DOJ… [read post]
