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23 Mar 2017, 11:24 am
In November FINRA filed a complaint against Ms. [read post]
27 Jul 2015, 6:39 am
In one of the FINRA actions, FINRA alleged that, while registered through Joseph Gunnar, Girgis caused a violation of Regulation S-P of the Securities Exchange Act of 1934 on the part of his employer firm by sending nonpublic personal information about a customer to an unauthorized individual. [read post]
13 Oct 2022, 6:16 am
“Brokerage firms are required to supervise their advisors to make sure that they are complying with FINRA rules. [read post]
24 May 2022, 7:45 am
” The damage amount requested is $1,000,000 and the complaint is currently pending, according to FINRA. [read post]
13 May 2016, 6:47 am
FINRA will announce the effective date of the proposed rule change in a Regulatory Notice no later than June 6, 2016. [read post]
10 May 2024, 2:06 pm
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
Advisor Neil Fineman Barred By Regulator For Selling $2.5 Million in Private Securities Transactions
9 Jun 2018, 1:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Neil Fineman (Fineman), operating under the d/b/a Executive Wealth Strategies, in December 2017, was barred from the financial industry by FINRA concerning allegations that he engaged in private securities transactions. [read post]
15 May 2020, 10:37 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
25 Sep 2019, 8:26 am
We represent investors in FINRA arbitration claims in all 50 states, including Massachusetts. [read post]
23 Nov 2022, 8:48 am
Barndollar’s alleged conduct violated FINRA Rules 3280 and 2010. [read post]
17 Mar 2010, 11:39 am
What is FINRA looking for? [read post]
2 Nov 2009, 5:40 am
FINRA requires, by regulation, that all members of the financial services industry arbitrate all claims against them at FINRA arbitration. [read post]
21 Sep 2018, 12:01 pm
Investigations, according to FINRA, are signaled by the issuance of a Wells Notice to the individual or the individual being notified from FINRA staff that formal disciplinary action has been recommended by FINRA. [read post]
15 Nov 2013, 3:32 pm
The court found that nothing in the FINRA rules precludes parties from settling a dispute and the settlement between Schwab and the Trustee was consistent with the FINRA Rules. [read post]
3 Jul 2009, 5:42 pm
Text of Rule 1032(i) FINRA Rule 1032. [read post]
12 Feb 2008, 9:19 am
" In Notice 07-59, FINRA divides its guidance into six categories. [read post]
10 Sep 2019, 2:34 am
The White Law Group announces the filing of a FINRA Lawsuit against J.P. [read post]
9 Sep 2022, 12:36 pm
FINRA Rule 3110 (Failure to Supervise) requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with securities laws and regulations and FINRA rules. [read post]
20 Jan 2021, 8:56 am
” For FINRA’s full findings see FINRA Case # 202006822610. [read post]
28 Aug 2020, 4:00 am
Without admitting or denying FINRA’s findings, Peter Douglas Monson was assessed a fine of $7,500 and suspended from association with any FINRA member in all capacities for six months. [read post]
