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24 May 2011, 9:23 am
Following up on his earlier letter to FINRA regarding a large hedge fund, Senator Charles Grassley (R-Iowa) asked the SEC to explain how the Commission resolved referrals from FINRA regarding the fund and how the number of referrals over the timeframe in question compares to similarly situated firms. [read post]
2 Jul 2012, 8:30 am
FINRA did this for the sole purpose of proposing a settlement of rule violations. [read post]
2 Jan 2014, 7:22 am
According to FINRA’s December 2013 Disciplinary Actions, James Arnold Busch recently submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. [read post]
18 Apr 2017, 10:19 am
Kohn & Associates, Ltd.In my humble opinion, many FINRA examiners seem to be aspiring proctologists. [read post]
25 May 2012, 7:48 am
A Financial Industry Regulatory Authority (FINRA) arbitrator ordered the firm to pay them back $24,450 for their shares of Apple REIT Nine, and to reimburse them for the $425 FINRA filing fee. [read post]
3 May 2013, 3:34 am
BBVA Sanctioned For Discovery Abuse In FINRA ArbitrationMember firm gets tagged with sanctions for FINRA arbitration discovery abuse... [read post]
7 Oct 2014, 10:05 am
The article highlights the concern over FINRA’s BrokerCheck service for investors to: “Search for information about brokers and brokerage firms. [read post]
29 Jun 2010, 4:58 pm
In conjunction with FINRA, the Hugh L. [read post]
23 Jul 2021, 12:55 pm
Another Office Girl Gets Slammed By FINRA (BrokeAndBroker.com Blog)<a href="#nikola">SEC Charges Founder of Nikola Corp. [read post]
19 Apr 2018, 7:56 am
Braeger was barred from association with any FINRA member firm in all capacities. [read post]
31 Jan 2013, 4:26 am
In the Matter of the FINRA Arbitration Between Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barne... [read post]
16 Oct 2014, 12:00 pm
Without a written agreement, and an admission that he had no dealings with the Respondent, the claim was dismissed.See, FINRA Arbitration Award 13-02741 [read post]
21 Aug 2020, 12:18 am
Hildebrandt, Respondent (FINRA AWC)... [read post]
7 Aug 2023, 4:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7136/securities-industry-commentator/ Bill Singer Renews Call To Boycott FINRA 2023 Elections (BrokeAndBroker.com Blog) The FINRA Crypto Hub-bub and William of Ockham (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
23 Oct 2012, 6:54 am
(“DLA”) has been sanctioned by FINRA for “misleading investors into buying real estate investment trusts [REITs]. [read post]
14 Jan 2009, 9:21 am
 Let's examine FINRA's guidance. [read post]
19 Apr 2018, 7:56 am
Braeger was barred from association with any FINRA member firm in all capacities. [read post]
4 Oct 2011, 7:53 am
In addition, FINRA found that Raymond James’ supervisory systems were inadequate. [read post]
8 Jun 2023, 5:18 pm
Gen Z blends digital-first investing with family input The new FINRA/CFA [...] [read post]
22 Aug 2021, 6:49 am
Stump on the CFTC’s Regulatory Authority Applicable to Digital Assets (CFTC Release)FINRA Arbitrator Pens Perfect Rationale in UBS Expungement Award (BrokeAndBroker.com Blog)... [read post]
