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31 Jan 2019, 12:58 pm
Claims may be brought in securities arbitration before FINRA. [read post]
31 Jan 2019, 12:42 pm
FINRA expects firms to follow FINRA rule 2232 and MSRB Rule G-15 to comply with mark-up or mark-down disclosure obligations on fixed income transactions. [read post]
31 Jan 2019, 11:40 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit http://www.whitesecuritieslaw.com. [read post]
31 Jan 2019, 8:04 am
What is FINRA Arbitration? [read post]
31 Jan 2019, 7:31 am
Six of his previous employers have been expelled by FINRA, including Newport and Meyers. [read post]
31 Jan 2019, 4:35 am
Today's blog arises from a FINRA Arbitration Decision that tells us next to nothing about the substance of a multi-million dollar complaint filed against 10 respondents. [read post]
31 Jan 2019, 3:00 am
Compliance and Risks in Critical Market Infrastructure – Examiners will focus on entities that provide services critical to the proper functioning of capital markets, including clearing agencies, national securities exchanges, and transfer agentsFINRA and MSRB – The SEC will examine on FINRA’s operations and regulatory programs and the quality of FINRA’s examinations of broker-dealers and municipal advisors and MSRB’s effectiveness of select operations… [read post]
30 Jan 2019, 3:23 pm
FINRA is currently considering public comments to this proposal. [read post]
30 Jan 2019, 2:48 pm
Kitts has nine disclosures on her FINRA BrokerCheck Report during her 18 years of experience in the securities industry, FINRA states. [read post]
30 Jan 2019, 2:11 pm
FINRA’s recommendations focus on employee training and technical controls. [read post]
30 Jan 2019, 1:06 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Balas, Tami SCF Securities, Inc Klopp Agency Bustamante, Ricardo JP Morgan Securities LLC Bustamante… [read post]
30 Jan 2019, 1:03 pm
The post In January 2019 FINRA Suspends Registered Individuals for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
30 Jan 2019, 12:56 pm
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
30 Jan 2019, 12:31 pm
(CRD #13366), both of Uniondale, NY, have been expelled by FINRA. [read post]
30 Jan 2019, 6:46 am
The entities they represented were not registered with any federal agency like the SEC or FINRA, nor were any of them registered brokers or investment advisors. [read post]
29 Jan 2019, 7:15 am
(CRD #755) of Florham Park, NJ, was expelled by FINRA in 2011. [read post]
28 Jan 2019, 1:34 pm
FINRA Broker Disciplinary Action Report January 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
28 Jan 2019, 11:18 am
(CRD #13366, expelled by FINRA on 10/09/2012) and J.P. [read post]
28 Jan 2019, 11:09 am
Excellent commentary from our colleague Alan Wolper regarding the curious relationship between FINRA and PIABA.https://www.bdlawcorner.com/2019/01/the-disturbingly-cozy-relationship-between-finra-and-piaba/ [read post]
28 Jan 2019, 9:39 am
FINRA recently suspended Greenblatt for 30 days after he attempted to settle a customer complaint away from the firm in March 2016. [read post]
