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2 May 2014, 3:56 am
For 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 regul... [read post]
17 May 2016, 1:37 am
And then you may learn about a related FINRA disciplinary matter. [read post]
18 Dec 2017, 3:43 am
The wife refused to submit to FINRA arbitration. [read post]
3 Jul 2019, 7:37 am
FINRA Issues An Extraordinary and Cynical Release (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4689/finra-extraordinary-cooperation/The way I understand it, Moses went up a mountain and God gave him two stone tablets consisting of Ten Commandments. [read post]
1 May 2020, 6:22 am
Wunderlich Files Motion to Vacate FINRA Arbitration Citing Zoom HearingWunderlich Securities, Inc. and Gary Wunderlich, Petitioners, v. [read post]
8 May 2015, 9:54 am
Lovett submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Jul 2016, 10:14 am
FINRA Says It's A Matter Of Trust Or Is That Trustee? [read post]
30 Sep 2013, 7:49 am
Unhappy customers sue a brokerage firm and registered person and the dispute winds up in a FINRA arbitration. [read post]
8 Aug 2013, 7:26 am
All of which sets off a cavalcade of compliance disaster.For 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, DeCarla Mathis submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Oct 2015, 5:36 am
In a recent FINRA regulatory settlement, we are confronted with a respondent who didn't quite seem to be clocking in everyday and paying attention to the details. [read post]
3 Oct 2018, 1:58 am
This is an update of the drama of Bruce Zipper's appeals from a FINRA decision denying an MC-400 Membership Continuance Application filed by his firm Dakota Securities International as a consequence of Zipper entering into a FINRA AWC that found he had willfully failed to timely amend his Form U4 to disclose three judgments and, as such, he was rendered statutorily disqualified. [read post]
12 Nov 2018, 5:44 am
In a recent FINRA arbitration, a stockbroker seems to have been put through hell by the false accusations of her former mother-in-law. [read post]
20 Mar 2023, 3:55 am
Financial Professionals Coalition, Ltd Endorses Ronald Filler, Esq's FINRA Petition for Direct Registration Exam (BrokeAndBroker.com Blog) Should FINRA stop requiring sponsorship to take the Series 7 Exam (Capital Advantage Tutoring by Kenneth Finnen) Financial Professionals Coalition, Ltd. [read post]
12 Sep 2019, 1:06 am
As best we can figure out from the tidbits of facts in the FINRA Arbitration Decision, the customer was referred by his stockbroker to an outside lawyer, who, in turn, referred the customer to a purported crypto investment genius. [read post]
25 Apr 2013, 6:19 am
Denis, IV submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
16 Jul 2021, 7:08 am
FINRA Fines and Suspends Rep For Seeking COVID Loan (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5966/finra-awc-covid/A former Wells Fargo employee ... [read post]
25 Jul 2019, 5:09 am
In the Matter of Orlando Vargas, Respondent (FINRA AWC) FIN... [read post]
24 May 2019, 9:08 am
Another FINRA Regulatory Settlement. [read post]
3 Jun 2018, 6:23 am
As much as we would like to dismiss this as a very rare and isolated scenario, FINRA continues to publish settlements involving similar fact patterns. [read post]
7 Nov 2020, 3:38 am
. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
