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19 Dec 2018, 12:03 pm
http://www.finra.org/sites/default/files/fda_documents/2014041196601%20Morgan%20Stanley%20Smith%20Barney%20LLC%20149777%20AWC%20DM.pdfFor 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, Beginning in 2011, Morgan Stanley failed to develop and implement an anti-money laundering… [read post]
19 Dec 2018, 12:02 pm
Please refer to the Department of Justice’s contingency plan for more information.Report from FINRA Board of Governors Meeting -- December 2018 / Board Approves Rule Proposals, Reviews 2019 Budget and Appoints New Public Governor (FINRA Release)http://www.finra.org/newsroom/2018/report-from-finra-board-of-governors-meeting-december-2018In pertinent part, the FINRA Release announced that its Board had approved two rule proposals:Proposal to Proh... [read post]
19 Dec 2018, 11:43 am
Broker Investigation – Adam Michael Lopez – Country Capital Management According to the Financial Industry Regulatory Authority (FINRA), on December 17, 2018, the regulator has reportedly barred Adam Michael Lopez from associating with any FINRA member at any time. [read post]
19 Dec 2018, 6:58 am
Vandyke, hence, has been barred by FINRA. [read post]
19 Dec 2018, 3:30 am
As recently reported, both the SEC and FINRA have commenced their own investigations into GPB Capital Holdings, LLC (“GPB”). [read post]
18 Dec 2018, 11:39 pm
Failing to adhere to this obligation, as discussed by FINRA at length in FINRA Regulatory Notice 10-22, results in a brokerage firm failing to abide by the suitability rule. [read post]
18 Dec 2018, 2:25 pm
Churning an account also violates FINRA’s rule that brokers only recommend (or make) trades suitable for their clients. [read post]
18 Dec 2018, 11:12 am
The post November 2018 FINRA Disciplinary Actions Name Individuals Suspended by FINRA for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Dec 2018, 11:08 am
According to FINRA Disciplinary actions for November 2018, 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 Denise Canez James Flynn IFS Securities Voya Financial Advisors, Inc Glenn Grosek Citizens… [read post]
18 Dec 2018, 11:03 am
The post FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Dec 2018, 6:57 am
The damage amount requested is $100,001.00, FINRA notes. [read post]
18 Dec 2018, 6:04 am
Before you read today's analysis of a recent FINRA regulatory settlement, place a large pillow on the floor directly under your chin because it may cushion the impact when your jaw hits the hardwood not once or twice but possibly three or more times. [read post]
18 Dec 2018, 6:04 am
According to the Financial Industry Regulatory Authority (FINRA) By-Law, Article III, Section 4, filing for bankruptcy is not an event that would disqualify an individual from being associated with a FINRA member firm. [read post]
18 Dec 2018, 2:55 am
When it comes to margin accounts on Wall Street, many customers believe that they have the right to prior notification from their brokerage firm before any positions are liquidated to cover margin calls. [read post]
17 Dec 2018, 3:14 pm
John Reed Stark On November 29, 2018, the SEC announced that it had settled charges with boxer Floyd Mayweather Jr. and music producer DJ Khaled for failing to disclose payments they received for promoting investments in Initial Coin Offerings (ICOs). [read post]
17 Dec 2018, 8:39 am
According to his FINRA BrokerCheck report, May has two pending customer complaints listed. [read post]
17 Dec 2018, 6:34 am
Pirrello also allegedly willfully failed to amend his Form U4 to disclose this customer complaint, FINRA states. [read post]
16 Dec 2018, 1:49 pm
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
Former Morgan Stanley Advisor Michael Ralby Barred by Securities Regulator and Subject to Complaints
16 Dec 2018, 1:48 pm
Claims may be brought in securities arbitration before FINRA. [read post]
16 Dec 2018, 12:47 pm
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
