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7 Aug 2012, 8:44 am
Based on the total number of FINRA arbitration claims filed during these years, churning claims still represent approximately 5% of the total claims filed. (1) FINRA FINRA Rule 2111 (generally modeled after former NASD Rule 2310) codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
7 Aug 2012, 8:44 am
Based on the total number of FINRA arbitration claims filed during these years, churning claims still represent approximately 5% of the total claims filed. (1) FINRA FINRA Rule 2111 (generally modeled after former NASD Rule 2310) codifies a brokerage firms and associated persons’ obligations with respect to churning/excessive trading. [read post]
12 May 2016, 8:26 am
As a result, FINRA will begin requiring firms to report additional information to TRACE.He said that regulators are also concerned about some of the protocols within the platforms. [read post]
9 May 2014, 4:00 pm
It's Buyer Beware, according to guidance and alerts issued recently by the SEC, FINRA and IRS concerning risks inherent in Bitcoin. [read post]
18 Aug 2014, 10:17 am
For the full findings, see FINRA Case #2011026852001. [read post]
5 Nov 2020, 9:18 am
FINRA Sanctions First Clearing LLC for Failure to Provide Accurate Valuations on REITs & DPPs According to the Financial Industry Regulatory Authority (FINRA) on November 5, the regulator reportedly censured and fined broker-dealer First Clearing LLC (Wells Fargo Clearing Services, LLC CRD No. 19616) $300,000 in connection with alleged failure to provide accurate valuations on REITs & DPPs, as well as supervisory issues. [read post]
11 Mar 2014, 4:56 pm
According to Investment News, three clients of former broker, James Robert Glover, were awarded nearly $1.6 million through a FINRA arbitration claim. [read post]
31 Jan 2022, 8:44 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
22 Dec 2020, 9:26 am
Finra also alleged Transamerica failed to detect when its reps recommended inappropriate high-fee variable annuity share classes. [read post]
12 Apr 2012, 9:09 am
Pursuant to the settlements, Goldman will pay $11 million each to FINRA and the SEC. [read post]
19 Sep 2019, 11:20 am
We represent investors in FINRA arbitration claims in all 50 states, including Texas. [read post]
30 Mar 2021, 9:39 am
This matter reportedly originated from FINRA’s 2019 investigation of firms that sold LJM to retail customers, according to the AWC. [read post]
20 Jul 2017, 8:33 am
For FINRA’s full findings see FINRA Case # 2012030775201. [read post]
30 Sep 2014, 6:40 am
On September 11, 2014, FINRA, permanently barred Kenneth W. [read post]
10 Nov 2017, 5:55 am
Claims may be brought in securities arbitration before FINRA. [read post]
2 Jan 2020, 12:25 pm
We represent investors in FINRA arbitration claims in all 50 states, including New York. [read post]
27 Feb 2015, 6:41 am
Lawrence first became registered with FINRA in 2002 with MML Investors Services, LLC. [read post]
11 Sep 2019, 12:33 pm
We represent investors in FINRA arbitration claims in all 50 states, including Virginia. [read post]
11 Oct 2019, 12:50 pm
We represent investors in FINRA arbitration claims in all 50 states, including Montana. [read post]
24 Mar 2010, 1:50 pm
Merrill, FINRA Executive Vice President and Chief of Enforcement. [read post]
