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3 Jan 2015, 7:57 am
FINRA alleged that Hooper participated in the solicitation and sale of iPractice stock to investors. [read post]
19 Feb 2010, 6:07 am
FINRA is taking a different approach and ICI suggests that companies would be wise to look to FINRA's Notices when they draft their own social media policies and procedures. [read post]
1 Aug 2023, 11:44 am
FINRA BrokerCheck – Billy Stanage The FINRA BrokerCheck tool is a free online tool that allows investors to research and verify the background and credentials of financial brokers, brokerage firms, and investment advisors registered with FINRA. [read post]
15 Nov 2010, 6:46 am
FINRA's National Adjudicatory Council (NAC) recently issued a decision finding that New York based firm Westrock Advisors, Inc. violated FINRA Rules by failing to produce discoverable documents to an arbitration claimant as requested, and failed to abide by an arbitration panel order regarding same. [read post]
1 Jun 2010, 5:02 am
On May 26, 2010, FINRA announced “that it has imposed a monetary sanction of $1.5 million against Citigroup Global Markets Inc. for supervisory violations relating to its handling of trust funds belonging to cemeteries in Michigan and Tennessee. [read post]
11 Mar 2022, 10:05 am
The White Law Group represents investors in FINRA arbitration claims throughout the country. [read post]
1 Oct 2012, 11:14 am
The Securities and Exchange Commission recently approved new FINRA Rule 5123, Private Placements of Securities, which is part of an ongoing approach by FINRA to enhance oversight and investor protection in private placements. [read post]
29 Jan 2014, 2:32 pm
When broker dealers violate FINRA rules they can be held accountable through a FINRA arbitration claim. [read post]
29 Mar 2012, 12:55 pm
Mincy has neither admitted nor denied the allegations, but consented to the FINRA action. [read post]
20 Dec 2016, 12:34 am
For FINRA’s full findings see FINRA case #2014039352302. [read post]
5 Dec 2016, 10:12 am
For FINRA’s full findings see FINRA case # 2014040158902. [read post]
14 Aug 2010, 10:05 am
FINRA’s acting enforcement chief James S. [read post]
13 Jan 2011, 1:44 am
” If an amount is due, the balance must be received by FINRA and posted to the Renewal Account by February 4, 2011. [read post]
21 Feb 2013, 2:11 pm
FINRA Fines ING Affiliates $1.2 Million for Email Retention and Review Violations [read post]
1 Mar 2012, 3:44 am
FINRA?) [read post]
15 Jun 2011, 7:11 am
., a Financial Industry Regulatory Authority (FINRA) arbitration panel [read post]
24 Jan 2013, 3:10 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claimfiled in August 2011, Claimant Ameriprise sought t... [read post]
5 Mar 2009, 1:56 pm
Both the Securities and Exchange Commisssion and Finra, the securities industry's self-regulating agency, said on Thursday that they were revamping their operations to respond better to whistleblowers. [read post]
9 Nov 2011, 12:09 pm
But the Finra hearing panel also concluded that the firm lacked the controls to ensure that clients could properly give their consent for auction-rate securities trades. [read post]
29 Aug 2011, 10:56 pm
News release: "Stanford University’s Center on Longevity and the FINRA Investor Education Foundation have joined together to launch the Research... [read post]
