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16 Jul 2019, 10:18 am
FINRA Matters FINRA Begins Effort to Simplify Firms’ Digital Experience. [read post]
16 Jul 2019, 7:05 am
After FINRA’s investigation, Schwartz consented to the sanction, and of an indefinite bar from association with any FINRA broker-dealer, effective 4/16/2019. [read post]
15 Jul 2019, 3:17 pm
The post SEC and FINRA Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities appeared first on Investment Fund Law Blog. [read post]
15 Jul 2019, 1:03 pm
" For more information, visit: www.nasaa.org.Contacts:SECOffice of Public Affairs202-551-4120 news@sec.govNASAABob Webster, Director of Communications202-737-0900bw@nassa.orgSEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
15 Jul 2019, 11:45 am
FINRA Award appeared first on The White Law Group. [read post]
15 Jul 2019, 7:48 am
Michael.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
12 Jul 2019, 2:05 pm
The SEC appreciates the assistance of the Financial Industry Regulatory Authority, the Alberta Securities Commission, the Cyprus Securities and Exchange Commission, the Financial Conduct Authority of the United Kingdom, the Monetary Authority of Singapore, the Ontario Securities Commission, the Securities and Commodities Authority of the United Arab Emirates, the Securities and Futures Commission of Hong Kong, and the Securities Commission of Malaysia.SEC Press Release--- Looking for a… [read post]
12 Jul 2019, 2:02 pm
FINRA-registered brokers and firms are subject to arbitration to resolve securities-related disputes. [read post]
12 Jul 2019, 1:05 pm
Information may be shared by e-mail to LIBOR@sec.gov or directly to the staff of the Division of Corporation Finance at CFORS@sec.gov, the Division of Investment Management at IMDRAO@sec.gov, the Division of Trading and Markets at TRADINGANDMARKETS@sec.gov, or the Office of the Chief Accountant at OCA@sec.gov.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
12 Jul 2019, 12:50 pm
The SEC is asking investors to report any suspicious solicitations at www.sec.gov/complaint/tipscomplaint.shtml.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
12 Jul 2019, 7:00 am
The aforementioned Dispute was filed on April 24, 2019, FINRA states, and a damage amount has not been specified, FINRA reports. [read post]
12 Jul 2019, 5:57 am
Simply by running a BrokerCheck using FINRA’s database or a check on whether Hocker was registered with the SEC might have saved these unfortunate investors hundreds of thousands of dollars. [read post]
12 Jul 2019, 3:42 am
Federal Court Says Put A Fork In It 'Cause This Lawsuit Against FINRA is Done! [read post]
12 Jul 2019, 3:42 am
A recent FINRA OHO Panel Decision displays human folly in all its dubious glory.BackgroundNancy Kimball Mellon entered the securities industry in 1983, and by August 2012, she was registered with FINRA member firm Wells Fargo Clearing Services, LLC, where she remained until her December 7, 2016, termination. [read post]
12 Jul 2019, 3:42 am
Van Allen Respondent (FINRA AWC 2017053705201, July 15, 2019) http://www.finra.org/sites/... [read post]
11 Jul 2019, 12:26 pm
He was the subject of three FINRA customer disputes in 2018, all with similar allegations of “unsuitability”. [read post]
11 Jul 2019, 12:01 pm
The unique manner in which digital asset securities are issued, held and transferred makes them inevitably prone to unique concerns compared to traditional securities. [read post]
11 Jul 2019, 10:38 am
According to a Letter of Acceptance Waiver and Consent, the Financial Industry Regulatory Authority (FINRA) has reportedly barred former Kestra financial advisor, Jeffrey Blutstein from associating with any FINRA member at any time. [read post]
11 Jul 2019, 8:56 am
FINRA has since barred the former registered rep. [read post]
11 Jul 2019, 7:35 am
The committee is authorized to submit findings and recommendations to the Commission.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
