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9 Nov 2021, 5:48 pm
On November 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Aegis Capital Corp. [read post]
17 Nov 2008, 9:31 pm
Citigroup let Hernandez go in February 2006 and one month later, without admitting to or denying FINRA charges, he consented to the findings made against him and was barred by FINRA. [read post]
17 Sep 2021, 8:27 am
FINRA announced its preliminary determination involving Dutton in March 2021. [read post]
16 Dec 2011, 7:01 am
Wells Fargo consented to the entry of FINRA's findings but neither admitted nor denied the allegations. [read post]
20 Apr 2017, 6:32 am
The NAC is FINRA’s appellate tribunal for disciplinary cases and is a 15-member committee composed of industry and non-industry members. [read post]
26 Aug 2022, 1:20 pm
FINRA, the federal securities industry regulator, fined J.P. [read post]
4 Jun 2015, 10:53 am
Handy, Timson, and Walker recently submitted a Letter of Acceptance, Waiver and Consent (AWC) in which FINRA assessed a deferred fine of $60,000 and suspended each from association with any FINRA member in any capacity for 18 months (see FINRA Case #2013038066601). [read post]
20 Sep 2024, 10:27 am
According to FINRA, De Berardinis is not currently registered or associated with any FINRA member. [read post]
7 May 2015, 7:09 am
Dannhardt became associated with a FINRA firm in 1984. [read post]
31 Mar 2014, 8:07 am
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Allen B. [read post]
29 Mar 2017, 6:59 am
The case number with FINRA’s full findings is FINRA Case #2014040173501. [read post]
9 Dec 2021, 11:41 am
In its complaint against the broker, FINRA states, in part “The loan did not meet any of the five conditions set forth in FINRA Rule 3240. [read post]
3 Sep 2014, 7:35 am
FINRA Rules require that every application for registration (Form U4) filed with FINRA shall be kept current at all times by supplementary amendments. [read post]
12 Feb 2014, 5:45 am
FINRA has previously stated that leveraged ETF carry significant risks and are inherent complexity of the products. [read post]
11 Apr 2019, 9:02 am
For FINRA’s full findings see FINRA caseNO. 2017056005701. [read post]
25 Feb 2015, 6:41 am
Application of FINRA rules to employer. [read post]
26 Aug 2009, 12:54 pm
In a letter dated July 31, FINRA refused to turn over the documents. [read post]
21 Aug 2020, 4:00 am
Without admitting or denying FINRA’s findings, David Francis Dalton was assessed a deferred fine of $7,500 and suspended from association with any FINRA member in all capacities for three months. [read post]
Gurpreet Chandhoke and Stephen Shea Subject to Regulatory Action Over VII Peaks Capital Transactions
12 Oct 2019, 8:59 am
FINRA alleged that over the course of more than three years, between March 2014 and August 2017, Chandhoke and Shea consistently failed to meet their obligations to disclose private securities transactions and other outside business activities (OBAs) to the FINRA member firms with which they were associated. [read post]
19 Aug 2020, 4:00 am
As a result, Western International Securities violated NASD Conduct Rule 3010, FINRA Rule 3110, and FINRA Rule 2010. [read post]
