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13 Dec 2018, 5:59 am
On Wall Street's Alan Foxman explains: https://onwallstreet.financial-planning.com/news/when-personal-gifts-can-break-finras-compliance-rules-for-financial-advisors [read post]
13 Dec 2018, 5:44 am
EKN was expelled by FINRA on October 12, 2012, FINRA reports. [read post]
12 Dec 2018, 7:00 am
FINRA has the authority to request documents, information, and testimony from those under its’ jurisdiction in a FINRA 8210 letter. [read post]
12 Dec 2018, 5:31 am
Chris Raymond Kubiak Barred by FINRA Chris Kubiak, based on the aforementioned alleged behavior, has been barred by FINRA in all capacities starting in October 18, 2018, his FINRA BrokerCheck notes. [read post]
12 Dec 2018, 4:52 am
After reading a recent FINRA Arbitration Decision about a public customer case, we don't come away with much of a sense as to where things ended. [read post]
11 Dec 2018, 1:45 pm
Four of his previous employers have been expelled by FINRA: Meyers Pollock Robbins, Inc. [read post]
11 Dec 2018, 9:53 am
By failing to have a system in place to adequately review email correspondence, LPL clearly operated in violation of FINRA Rule 3110. [read post]
11 Dec 2018, 7:22 am
He was barred by the Financial Industry Regulatory Authority (FINRA) in April after he refused to testify in the self-regulatory authority’s probe into the fraud and misappropriation allegations against him. [read post]
11 Dec 2018, 5:21 am
Judith Bufis Barred by FINRA after Allegedly Failing to Provide Documents & Information Requested by FINRA Judith Ann Bufis, based on the alleged aforementioned behavior, fell under the scope of a FINRA investigation, FINRA notes. [read post]
10 Dec 2018, 3:16 pm
John Reed Stark Lost amidst all of the turmoil surrounding the dramatic swings in the value of digital currencies is that the original idea for these digital assets is that they might actually be used as exchange media, in place of traditional currencies. [read post]
10 Dec 2018, 9:43 am
The facts of the case involve findings by FINRA that the CCO (Mr. [read post]
10 Dec 2018, 7:17 am
Of IAA’s 45 brokers at the time, eight of them could not be found in FINRAs records. [read post]
10 Dec 2018, 6:55 am
Zachary Berkey worked for 17 years in the securities industry with four firms, and has 11 disclosures on his FINRA BrokerCheck Report, FINRA notes. [read post]
10 Dec 2018, 5:43 am
Disqualification applies to cease-and-desist orders that were issued within five years before the proposed sale of securities and remain in effect.SEC stop orders and orders suspending the Regulation A exemption applies if any covered person (as a registrant or issuer) has filed a registration statement or Regulation A offering statement that was the subject of a Commission refusal order, stop order or order suspending the Regulation A exemption within the last five years, or is the subject of a… [read post]
9 Dec 2018, 6:01 am
---https://www.cnbc.com/2018/11/29/sec-charges-floyd-mayweather-dj-khaled-for-promoting-icos-without-disclosing-payments.html---Mark Astarita represented investors, brokers and issuers in their securities regulatory and litigation matters, including SEC and FINRA proceedings, arbitrations, and due diligence in connection with public and private offerings and investments for over 30 years. [read post]
7 Dec 2018, 11:07 am
Given the high cost of retaining a lawyer, we frequently see parties forced to represent themselves in courts and arbitration hearings. [read post]
7 Dec 2018, 7:15 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]
7 Dec 2018, 6:08 am
Bruce Plyer Barred Indefinitely by FINRA Bruce Plyer, based on the aforementioned alleged behavior, fell under the scope of a FINRA investigation, FINRA notes. [read post]
7 Dec 2018, 5:50 am
Kahan, Morrison & Foerster LLP, on Saturday, December 1, 2018 Tags: Blockchain, Compliance and disclosure interpretation, Cryptocurrency, Exchange Act, Financial technology, FINRA, SEC, SEC enforcement, Securities enforcement, Securities regulation, Settlements Spotlight on Boards Posted by Martin Lipton, Wachtell, Lipton, Rosen & Katz, on Saturday, December 1, 2018 Tags: Board leadership, Boards of… [read post]
7 Dec 2018, 5:25 am
The Failure of Wall Street Compliance and Regulation: A Case In Point (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4325/finra-elderly-widow/They will try to convince you that Wall Street has an effective two-tier system to protect investors. [read post]
