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5 Mar 2014, 1:30 pm
Brokers that overlook FINRA suitability requirements or mislead investors regarding risks can be liable for investment losses through FINRA arbitration. [read post]
22 Jul 2019, 4:54 am
McCutchen and Berthel perfectly fit the description of the types of “rogue brokers” that FINRA is trying desperately to regulate more heavily. [read post]
5 Apr 2010, 6:46 pm
FINRA had issued the securities fraud award last year. [read post]
23 Jan 2018, 7:16 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
30 Oct 2012, 5:03 pm
Yet, the rules of the Financial Industry Regulatory Authority (FINRA) do not allow appeals of arbitrators decisions. [read post]
1 Aug 2012, 7:30 am
In this opinion piece, Bloomberg columnist and former investment banker William Cohan discusses his views that the government financial watchdog Financial Industry Regulatory Authority should remove its current system of case arbitration and simply allow financial disputes to be resolved in courts of law. [read post]
11 Apr 2011, 9:20 am
The Financial Industry Regulatory Authority has fined UBS $2.5 million, and required it to pay $8.25 million in restitution over the sale of structured notes backed by Lehman Brothers. [read post]
17 Jan 2020, 4:55 am
In 2016 FINRA adopted Rule 2030, which is substantially similar to the Advisers Act rule. [read post]
11 Feb 2014, 6:00 am
Oakes has been in the securities industry as a member of the FINRA since 1988. [read post]
10 Feb 2014, 6:01 am
FINRA found that Dahn did not disclose the loans to MSC or LPL. [read post]
28 Sep 2018, 5:07 pm
FINRA Targets Alleged Cryptocurrency Securities Fraud Recently, the Financial Industry Regulatory Authority (FINRA) announced that it is pursuing its first-ever complaint against an entity suspected of unlawfully selling cryptocurrency securities. [read post]
17 Apr 2019, 9:49 am
For FINRA’s full findings see FINRA case # 2016051704302. [read post]
5 May 2014, 8:54 am
The Financial Industry Regulatory Authority (FINRA) has barred broker Mark R. [read post]
19 Apr 2019, 9:49 am
For FINRA’s full findings see FINRA case # 2016051704302. [read post]
13 Jan 2021, 9:25 am
They must ensure they are complying with FINRA rules. [read post]
22 Aug 2019, 12:07 pm
The complaint alleged that Dotson violated Financial Industry Regulatory Authority (FINRA) Rules 8210 and 2010 when he refused to appear for on-the-record testimony in a FINRA investigation and consequently was barred from associating with any FINRA member at any time. [read post]
31 Dec 2013, 5:47 am
The senators asked FINRA to respond by Jan. 6 to PIABA’s recommendations. [read post]
31 Oct 2016, 7:47 am
(FINRA No. 2016050482101). [read post]
1 Mar 2017, 12:39 pm
According to FINRA, Craig D. [read post]
31 Oct 2014, 6:13 am
In Campbell’s case, FINRA found that one of his customers was a 55 year old single mother who initially opened an account with Campbell in 2000. [read post]
