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15 Jun 2023, 7:22 pm
A former Morgan Stanley advisor has agreed to a suspension and fine to resolve charges brought by brokerage industry self-regulator Finra relating to unauthorized gifts she allegedly received from an elderly client.Sharon Hayut accepted Finra’s findings without admitting or denying the allegations in a letter of acceptance, waiver, and consent (AWC), which described [...] [read post]
4 Jun 2022, 5:57 am
Morgan Securities Demolished In FINRA Non-Solicitation Arbitration (BrokeAndBroker.com Blog)https://www.brokeandbroker.com... [read post]
6 Mar 2020, 1:30 am
Fidelity Brokerage Services LLC, Respondent (FINRA Arbitration Decision)... [read post]
13 Jul 2011, 8:10 am
The FINRA panel specifically noted “Wedbush Morgan’s morally reprehensible failure in refusing to compensate Claimant in a timely fashion. [read post]
6 Mar 2020, 1:30 am
In the Matter of FINRA Department of Enforcement, Complainant, vs. [read post]
8 May 2023, 4:47 am
SEC Says No Second Bite of FINRA Expungement Apple (BrokeAndBroker.com Blog) The Fair But Unsatisfactory FINRA Arbitration Hearing (BrokeAndBroker.com Blog) Goldman Sachs to pay $215 mln to settle gender discrimination lawsuit (Reuters) Financial Professionals Coalition, Ltd. [read post]
3 Jan 2023, 3:20 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6827/securities-industry-commentator/Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000 (BrokeAndBroker.com Blog)Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System (BrokeAndBroker.com Blog)Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute… [read post]
18 Sep 2023, 4:46 am
Lackluster FINRA Board Mishandled 2023 Election and Refuses to Disclose Vote Tally (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
11 Jun 2021, 5:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5903/securities-industry-commentator/GUEST BLOG [In]Securities: Bird on a Wire by Aegis Frumento Esq (BrokeAndBroker.com Blog)SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze (SEC Release)Finra Sanctions Ex-LPL Broker Over 'Outside' Notary Biz (Advisor Hub by Miriam Rozen)FINRA Fines and... [read post]
16 Oct 2022, 10:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6719/securities-industry-commentator/Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order (BrokeAndBroker.com Blog)FINRA Takes Wells Fargo Stockbroker Outback to a Bar for a Second Round (BrokeAndBroker.com Blog)Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to… [read post]
27 Aug 2021, 11:38 am
The SEC Is Asked to Go Back To The Future to Rewrite History (BrokeAndBroker.com Blog)FINRA Announces Governor Elections and Appointments (FINRA Release)Co-Founder Of Investment Fund Sentenced To 4 Years In Prison For Defrauding Investors Of Over $25 Million / Jason Rhodes Served as Chief Investment Officer and Chief Risk Officer While Defrauding Investors (DOJ Release)Director and Promoter of BitConnect Pleads Guilty in Global $2 Billion Cryptocurrency Scheme (DOJ Release)SEC… [read post]
20 Oct 2009, 8:43 am
FINRA celebrates October 2009 is FINRA Mediation [...] [read post]
17 Oct 2017, 6:22 am
(FINRA Case #2016049871601) Jason Hunter Likens (CRD #4716661, Asheville, North Carolina) – An AWC (Accept, Waiver & Consent) was issued in which Likens was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for 15 months. [read post]
28 Oct 2011, 3:07 pm
The Financial Industry Regulatory Authority (FINRA) does, according to the Securities and Exchange Commission. [read post]
10 Oct 2019, 9:00 am
featured in today's Securities Industry Commentator:SEC Charges 18 Traders in $31 Million Stock Manipulation Scheme (SEC Release)[In]Securities Guest Blog: Make It So by Aegis Frumento, Esq (BrokeAndBroker.com Blog)FINRA Publishes 2019 Report on Examination Findings and Observations (FINRA Report)Alleged Fraudster Sentenced to 22 Years in Parallel Criminal Case (SEC Release)... [read post]
22 Aug 2021, 6:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6023/securities-industry-commentator/Surprise, Surprise, Surprise In FINRA Intra-Industry Defamation Arbitration (BrokeAndBroker.com Blog)VOTE for FINRA Small Firm Governor Paige W. [read post]
29 Oct 2021, 11:44 am
No-Show FINRA Member Firm Loses Customer Arbitration But Where is FINRA When It Comes To Collecting on the Award? [read post]
11 Dec 2009, 1:15 pm
With that notion in mind, FINRA proceeds to discuss the types of investment risks that investors face. [read post]
20 Jun 2018, 9:51 am
The massive Ponzi scheme’s alleged orchestrators were all formerly registered with FINRA and employed by FINRA-registered firms, according to the SEC complaint. [read post]
7 Aug 2023, 4:51 am
The FINRA Crypto Hub-bub and William of Ockham (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
