Search for: "Finra"
Results 6321 - 6340
of 18,149
Sorted by Relevance
|
Sort by Date
30 Jul 2022, 6:30 am
Thus, required FINRA membership for many of these currently-exempt firms would help enhance robust and consistent oversight. [read post]
3 Aug 2016, 9:12 am
Kuettel was sanctioned by FINRA with a nine month suspension from associating with any FINRA member in all capacities and a $10,000 fine. [read post]
5 Feb 2019, 8:46 am
For FINRA’s full findings see FINRA case # 2016051482301. [read post]
12 Jun 2012, 6:39 am
In Regulatory Notice 12-05, the Financial Industry Regulatory Authority (FINRA) noted an increasing number of reports of customer funds stolen due to e-mail instructions received from compromised customer e-mail accounts. [read post]
19 Jan 2017, 3:17 am
Online FINRA BrokerCheck records for Destina Mantar as of January 25, 2017, disclose that she graduated the Ataturk High School of Science in Istanbul, Turkey in 2011, and Duke University in Durham, North Carolina in 2015. [read post]
28 Oct 2013, 10:08 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admit... [read post]
7 Jan 2019, 9:57 am
In response to the former employer's FINRA arbitration, the former employee fights back with his own counterclaim. [read post]
12 Feb 2018, 3:21 am
As a recent FINRA regulatory settlement shows, there are times when self-regulation comes apart at the seams -- e... [read post]
24 Sep 2015, 10:20 am
Few things are more frustrating for lawyers and their FINRA-member-firm clients than the self-regulatory organization's Continuing Membership Application (“CMA”) process. [read post]
25 Sep 2017, 3:41 am
Among the BrokeAndBroker.com Blog's most frequently reported Financial Industry Regulatory Authority ("FINRA") issues is the finding that the failure to disclose a reportable event was "willful. [read post]
19 Jul 2016, 10:16 am
Who knew that the seeming gibberish and nonsense from the Beatles' "Hello Goodbye" were actually sage comments about FINRA's Outside Business Activities Rule. [read post]
12 Apr 2019, 5:19 am
Uh oh, this ain't gonna end well.Case In PointFor 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, Wilson-Davis & Co., Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FIN... [read post]
18 Aug 2018, 5:59 am
In today's featured lawsuit, we got a Complaint filed in the Delaware Court of Chancery, and the Plaintiffs are seeking a TRO because they say that they've been libeled and slandered before the Securities and Exchange Commission, and FINRA got ... [read post]
13 Nov 2018, 9:32 am
. -- an independent broker-dealer, member FINRA/SIPC, that is among the largest privately-controlled independent broker-dealers in the country. [read post]
11 Mar 2014, 3:36 am
During the relevant times in this matter, the credit union was affiliated with Financial Industry Regulatory Authority (“FINRA”) member firm Raymond James Financial Services, Inc. (“RJFS”), and Tomlinson was an employee of both the credit union and registered with RJFS.Salary Versus CommissionIn 2008, Tomlinson learned from a magazine article that a registered representative with whom h... [read post]
19 Feb 2016, 3:59 am
Oddly, FINRA's love note to the respondent seems to have gotten lost in the mail and took about 2 1/2 years to deliver. [read post]
22 Nov 2017, 8:14 am
Bill asks what is the value of the self-regulation of Wall Street when FINRA announces in November 2017 that it has fined and suspended an individual who retired from the industry in April 2015 after he had allegedly engaged in misconduct throughout 2014 that caused nearly $1 million in losses during in the accounts of elderly, retired customers? [read post]
18 Mar 2016, 5:48 am
Wall Street is regulated by the federal Securities and Exchange Commission ("SEC"), by state securities divisions, and by the self-regulatory organization (“SRO”) the Financial Industry Regulatory Authority (“FINRA”). [read post]
8 Dec 2016, 4:09 am
Consider a recent FINRA regulat... [read post]
15 May 2018, 5:21 am
Case In PointFor 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, A... [read post]
