Search for: "Finra"
Results 6981 - 7000
of 18,149
Sorted by Relevance
|
Sort by Date
3 Aug 2015, 3:34 am
This UPDATE references a Petition for Writ of Certiorari filed with the United States Supreme Court on behalf of the respondent in the FINRA AWC.In 1997, a registered representative settled allegations of industry misconduct pertaining to 1994 acts. [read post]
11 Sep 2017, 3:47 am
In a recent FINRA regulatory settlement, we have a case in which not only does a registered rep borrow money from two elderly clients but he also fails to apply the loans as promised and, duh, doesn't repay the debt. [read post]
1 Sep 2016, 5:32 am
If you listen carefully, in the background, you can hear Destiny's Child singing.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, El... [read post]
13 Feb 2015, 6:42 am
. (“FINRA”)), institute... [read post]
5 Feb 2018, 2:59 am
Be that as it may, today's BrokeAndBroker.com Blog analyzes a recent Financial Industry Regulatory Authority settlement involving a stockbroker, his away account, and his so-so results in buying and selling IPOs.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, ... [read post]
23 Oct 2020, 3:31 am
Much like the firm's recent regulatory travails, this particular piece of FINRA arbitration didn't go all that well either.For a trip down recent, memory lane:JPMorgan Chase & Co. [read post]
17 Sep 2018, 9:58 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in March 2018, public customer Claimants Edwin C. [read post]
20 Jun 2019, 1:56 pm
In the end, two courts latch on to the Arbitration Chair's failure to disclose a conflict and the FINRA Arbitration Panel's unreasonable denial of a postponement. [read post]
27 Feb 2020, 11:14 am
Today's featured lawsuit involves a somewhat tortured fact pattern, which bends and twists its way through a political scandal, entangled financing for a hotel, a FINRA arbitration, and into federal court. [read post]
25 Feb 2013, 2:05 am
FULL TEXT FINRA Decision On Charles Schwab Arbitration AgreementWith Analysis By Bill SingerAround October 1, 2011, Charles Schwab & Co. amended its Customer Account Agreement to include this waiver:Waiver of Class Action or Representative ActionNeither you nor Schwab shall be entitled to arbitrate any claims as a class action or representative action, and the arbitrator(s) shall have no authority to consolidate more than one parties’ [sic] claims or to proceed on a representative… [read post]
27 Nov 2020, 12:05 pm
Like I said, be that as it may, FINRA has maintained a vigilant posture when it comes to the misuse of customers' so-called nonpublic personal information, which is often referred to as "NPI" (gotta love acronyms, no?). [read post]
28 Jun 2018, 5:19 am
In a recent FINRA customer arbitration, a public customer relied upon the valuation of his bonds as posted on his brokerage firm's website. [read post]
25 Apr 2018, 10:38 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitra... [read post]
24 Feb 2012, 2:44 pm
” According to the Financial Industry Regulatory Authority (FINRA) CRD, Aaron Donald Vallett was registered with FINRA member firms from December 2001 until June of 2010. [read post]
17 Nov 2015, 8:05 am
FINRA’s BrokerCheck Could Help Investors More The Financial Industry Regulatory Authority (FINRA), the watchdog for the securities industry, operates a Yelp or Angie’s List-style database called BrokerCheck. [read post]
13 Mar 2014, 6:37 am
FINRA found that the system generated exceptions for mutual fund switches. [read post]
10 Sep 2018, 8:44 am
For FINRA’s full findings, see FINRA case number 2018057494201. [read post]
10 Sep 2018, 9:59 am
For FINRA’s full findings, see FINRA case number 2018057494202. [read post]
17 Feb 2016, 6:54 am
FINRA’s investigation found that Timothy S. [read post]
22 Dec 2014, 7:07 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Securities America, Inc. [read post]
