Search for: "Financial Industry Regulatory Authority"
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19 May 2015, 8:05 am
Practical GuidanceThis is an aggregation of legacy BNA products including their 90 practice portfolios and new “in practice” training guides authored by attorneys. [read post]
19 May 2015, 7:31 am
The Financial Industry Regulatory Authority (FINRA) barred broker Aaron Parthemer (Parthemer) concerning allegations that Parthemer engaged in private securities transactions – also known as “selling away. [read post]
18 May 2015, 7:03 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker John Miller (Miller) concerning allegations between October 2010, and January 2014, Miller executed discretionary transactions in approximately 90 accounts of customers under a verbal authorization but without prior written authorization from those customers or approval of his brokerage firm City Securities Corporation (City Securities). [read post]
15 May 2015, 5:34 pm
According to his publicly available Financial Industry Regulatory Authority (FINRA) CRD report, Mr. [read post]
15 May 2015, 10:58 am
The Financial Industry Regulatory Authority (FINRA) has permanently barred Nicholas Hansen Harper. [read post]
15 May 2015, 9:22 am
FINRA Arbitration The Financial Industry Regulatory Authority (FINRA) maintains a nationwide arbitration system for resolving disputes between investors and their brokers or brokerage firms. [read post]
15 May 2015, 7:08 am
Earlier this month, the Financial Industry Regulatory Authority ("FINRA") announced that it had fined LPL Financial ("LPL") $10 million for lack of supervision in several areas of its operations, including sales of ETFs, variable annuities, REITs, and other complex products. [read post]
15 May 2015, 6:56 am
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... [read post]
14 May 2015, 6:48 am
The Financial Industry Regulatory Authority (FINRA) has filed a complaint against brokers George Johnson (Johnson), Christopher Wayne (Wayne), Joseph Mahalick, and brokerage firm Meyers Associates, L.P. [read post]
13 May 2015, 9:11 pm
I welcome guest post submissions from responsible authors on topics of interest to readers of this blog. [read post]
13 May 2015, 6:41 am
More often, the FA is pursued by a financial industry regulator – usually the Securities and Exchange Commission (SEC) or the Financial Industry Regulatory Authority (FINRA), but in some cases it could be a state regulator. [read post]
12 May 2015, 12:59 pm
The Financial Industry Regulatory Authority (“FINRA”) has continued this trend, recently bringing charges against a number of member firms related to allegedly inadequate supervisory controls. [read post]
12 May 2015, 10:02 am
On May 7, 2015, a Financial Industry Regulatory Authority (“FINRA”) arbitration panel (the “Panel”) awarded (the “Award”) $500,000 to Respondent, John Offenburger (“Offenburger”), against the Claimants Morgan Stanley Smith Barney, LLC and Morgan Stanley Smith Barney FA Notes Holdings, LLC (collectively “Morgan Stanley” and/or “Claimants”), regarding a promissory note dispute. [read post]
12 May 2015, 8:32 am
On May 6, 2015, the Securities and Exchange Commission approved a proposal by the national securities exchanges and the Financial Industry Regulatory Authority (FINRA) for a two-year pilot program that would widen the minimum quoting and trading increments–or tick sizes–for stocks of some smaller companies. [read post]
12 May 2015, 7:09 am
The Financial Industry Regulatory Authority (FINRA) sanctioned three firms, H. [read post]
11 May 2015, 9:03 am
According to his publicly available Financial Industry Regulatory Authority (FINRA) CRD report, Mr. [read post]
8 May 2015, 10:42 am
On the heels of an announcement from the Financial Industry Regulatory Authority (FINRA) that LPL Financial LLC has been fined approximately $12 million as a result of lax supervision, FINRA barred former LPL broker Charles Fackrell as a result of him refusing to comply with FINRA’s request for information. [read post]
8 May 2015, 9:54 am
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, Michael A. [read post]
8 May 2015, 7:16 am
On Monday, the Financial Industry Regulatory Authority Inc. filed a cease-and-desist order against a small brokerage firm for sales of equity in the firm and promissory notes. [read post]
7 May 2015, 7:09 am
The Financial Industry Regulatory Authority (FINRA) fined and suspended broker Douglas Dannhardt (Dannhardt) concerning allegations that between January 2010, and December 2011 Dannhardt engaged in several different violations of the industry’s rules including: 1( excessive and unsuitable trading in three IRA accounts (also known as churning); 2) improperly exercising discretion in these three accounts by executing transactions days and weeks after… [read post]
