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31 Oct 2023, 9:41 am
In practice, however, FINRA takes much longer to adjudicate cases. [read post]
22 Mar 2019, 12:28 pm
A few weeks ago the securities industry watchdog, FINRA, announced that it had received reports that scam artists had been calling the public and impersonating FINRA executes. [read post]
12 Oct 2012, 8:15 am
FINRA has released NTM 12-40 which is found here. [read post]
12 Oct 2012, 8:15 am
FINRA has released NTM 12-40 which is found here. [read post]
29 Oct 2012, 3:06 am
Two recent FINRA arbitration awards highlight increased focus by FINRA arbitrators concerning discovery abuses by litigants. [read post]
26 Jul 2018, 7:11 am
(FINRA Case #2017054146302) Matthew Evan Eckstein (CRD #2997245, Syosset, New York) – Eckstein was named a respondent in a FINRA complaint alleging that he sold over $1.3 million of “investments” that were neither described in any written materials nor memorialized in a note or other agreement. [read post]
21 Oct 2019, 5:18 am
Gurpreet Chandhoke and Stephen Shea Sued by FINRA In a complaint filed by FINRA, and reported in October, 2019 Gurpreet Chandhoke and Stephen Shea, of Walnut Creek, California were named as Respondents alleging that they failed to disclose outside business activities and engaged in private securities transactions in violation of FINRA rules. [read post]
3 Nov 2009, 11:14 am
Individual arbitration claims filed with the Financial Industry Regulatory Authority (FINRA) totaled 5,545 through Sept. 30 - up 60% from the same period last year. [read post]
7 Feb 2015, 5:11 am
FINRA is filing a proposed rule change to amend Rules 12214, 12601, 13124 and 13601 to require that parties give more advance notice before cancelling or postponing a hearing, or be assessed a higher late cancellation fee if such notice is not provided.For more information, go to SR-FINRA-2015-003 - FINRA---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
18 Feb 2015, 3:49 pm
FINRA plans to review firms’ due diligence on prospective brokers during the hiring process. [read post]
21 Mar 2012, 7:16 am
FINRA recently commented on its enforcement actions and fines over 2011. [read post]
3 Dec 2017, 9:39 am
” Mai was suspended from FINRA for four months and fined $10,000. [read post]
7 Feb 2013, 11:00 am
FINRA, recently, issued Regulatory Notice 12-55, regarding suitability. [read post]
29 Jan 2013, 12:54 pm
The SEC recently approved amendments to FINRA Rule 8210 to: clarify the scope of FINRA’s authority under Rule 8210 to inspect and copy the books, records and accounts of member firms, associated persons and persons subject to FINRA’s jurisdiction; specify... [read post]
24 Feb 2012, 4:53 am
FINRA has filed with the SEC a proposed rule change to amend FINRA Arbitration Rules to raise the limit for simplified arbitration from $25,000 to $50,000. [read post]
25 Apr 2013, 12:56 pm
FINRA withdrew a proposed rule change to Amend FINRA Rule 2267 (Investor Education and Protection) that would have required members to include a prominent description of and link to FINRA BrokerCheck on their websites, social media pages and any comparable... [read post]
22 May 2019, 9:04 am
The post The Six Most Common FINRA Arbitration Claims In 2018 Silver Law Group Helps Investors Recover For Stockbroker Misconduct Through FINRA Arbitration appeared first on Securities Arbitration Lawyers Blog. [read post]
30 Apr 2008, 10:11 am
In a Decision released today, FINRA's National Adjudicatory Council (essentially FINRA's appellate level hearing body) affirmed a Hearing Panel decision that found that American Fund Distributors violated FINRA's (then known as NASD) Anti-Reciprocal Rule. [read post]
13 Sep 2022, 11:07 am
FINRA FINRA is a not-for-profit organization dedicated to investor protection and market integrity. [read post]
6 Jun 2023, 7:49 am
On March 20, 2023, FINRA sent a request to Cohen for information. [read post]
