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22 Jan 2019, 9:15 am
His most two most recent disclosures are FINRA disciplinary actions. [read post]
22 Jan 2019, 7:04 am
He is now suspended in all capacities from associating with any FINRA member. [read post]
22 Jan 2019, 6:26 am
Claims may be brought in securities arbitration before FINRA. [read post]
21 Jan 2019, 1:09 pm
However, according to FINRA, many of broker-dealer’s customers that bought these shares wanted a long-term investment horizon and would have benefited more from being sold B-share contracts. [read post]
21 Jan 2019, 12:16 pm
., FINRA notes. [read post]
21 Jan 2019, 10:54 am
They must ensure they are complying with FINRA rules. [read post]
20 Jan 2019, 11:27 am
The aforementioned dispute was filed on December 7, 2018, FINRA states, and FINRA has made a preliminary determination to recommend that disciplinary action be brought against David Manor, FINRA states. [read post]
20 Jan 2019, 11:25 am
FINRA also found that the company paid $124,250 in commissions to an entity controlled by McCaffrey’s wife. [read post]
20 Jan 2019, 11:07 am
Said dispute was filed on November 19, 2018, FINRA states, and is requesting damages of $130,000, FINRA states. [read post]
20 Jan 2019, 8:26 am
This year’s priorities address the following six themes: (1) retail investors, including seniors and those saving for retirement; (2) registered entities responsible for critical market infrastructure, including clearing agencies, transfer agents, and national securities exchanges; (3) Financial Industry Regulatory Authority (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”); (4) digital assets; (5) cybersecurity; and (6) anti-money laundering… [read post]
20 Jan 2019, 8:26 am
This year’s priorities address the following six themes: (1) retail investors, including seniors and those saving for retirement; (2) registered entities responsible for critical market infrastructure, including clearing agencies, transfer agents, and national securities exchanges; (3) Financial Industry Regulatory Authority (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”); (4) digital assets; (5) cybersecurity; and (6) anti-money laundering… [read post]
20 Jan 2019, 7:57 am
In December 2018 FINRA alleged that Hellman consented to the sanction and to the entry of findings that he failed to provide FINRA with requested documents and information during its investigation. [read post]
19 Jan 2019, 11:41 am
Schmidt has also been the subject of several customer complaints and was subsequently terminated by Wells Fargo for said alleged conduct, FINRA states. [read post]
19 Jan 2019, 11:22 am
Said action was filed on December 12, 2018 by the Colorado Division of Securities, FINRA notes. [read post]
19 Jan 2019, 12:00 am
Preston Spears has made lengthy comments responding to the aforementioned allegations which can be found on his FINRA BrokerCheck report, FINRA states. [read post]
18 Jan 2019, 3:47 pm
Finally, companies may run into issues with FINRA, Nasdaq or the NYSE as these organizations may not agree to list securities on such exchanges without the SEC confirming that they have reviewed and cleared such filing and affirmatively declared the registration statement effective. [read post]
18 Jan 2019, 12:24 pm
The aforementioned pending dispute was filed on December 20, 2018, FINRA states, and is requesting $348,366.85 in damages, FINRA states. [read post]
18 Jan 2019, 11:39 am
” For FINRA’s full findings see FINRA case #2018038604101. [read post]
18 Jan 2019, 9:22 am
There's also an intriguing thought-piece about whether a stockbroker should ever fire a client.2009 Public Customer Arbitration ComplaintIn a FINRA Arbitration Statement of Claim filed in June 2009, public customer Claimants asserted breaches of written contract and fiduciary duty; failure to supervise; negligence and gross negligence; misrepresentations and omissions; fraud and constructive fraud; and, violation of NYSE, NASD and/or FINRA Rules arising from their var... [read post]
18 Jan 2019, 7:50 am
This is the highest fiduciary standard available in the securities industry.What is FINRA’s Suitability Standard? [read post]
