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5 Sep 2014, 9:12 am
Warner submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Jan 2020, 12:06 am
In the Matter of Michael Leahy, Respondent (FINRA AWC)... [read post]
8 Jan 2023, 8:58 am
That's just not acceptable when it comes to a public, published FINRA Arbitration Award.We Got A Version. [read post]
28 Dec 2018, 7:15 am
Unstrained Mercy Gently Rains Down After FINRA Bar (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4368/finra-indiana-insurance/On a rainy evening in 2011, stockbroker and insurance agent Jeffrey A. [read post]
28 Jan 2015, 5:04 am
Ejiogu submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Sep 2022, 3:18 am
Presented in today's blog is a mess that started with a 2010 FINRA Arbitration Award, then incorporated the filing of an SEC whistleblower claim, then got embroiled in a dispute over whether the ensuing multi-million SEC Whistleblower Award should be divided two ways, and then came to rest in a Petition against the SEC's rendering of the Award.2010 FINRA Arbitration AwardIn the 1990s, Michael Johnston, Michael M... [read post]
22 Jan 2021, 10:53 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5663/securities-industry-commentator/Statement of Acting Chair Lee and Commissioners Peirce, Roisman, and Crenshaw Regarding Recent Market Volatility (SEC Release / Jan. 29, 2021)Former Merrill Lynch / BOA Employee Wins Dramatic FINRA Expungement (BrokeAndBroker.com Blog)M1 Finance and Wealthfront trade charges again, but both firms pledge to… [read post]
11 Jun 2013, 9:04 am
Troutman submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
1 Sep 2016, 5:41 am
Speaking of unexpected whoopins, Charles Schwab picked on the wrong former employee in a recent federal case and FINRA arbitration. [read post]
14 Apr 2014, 8:56 am
You may just be asking for some old-fashioned regulatory justice.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, Kaori Hagihara submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Apr 2022, 2:34 pm
FINRA makes an exceptionally strong regulatory cas... [read post]
17 May 2016, 7:44 am
And then you may learn about a related FINRA disciplinary matter. [read post]
11 Apr 2014, 4:26 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in October 2013, Claimant Dabit sought expungement of a customer complaint filed in April 2008 from his Central Registration Depository record (“CRD”) and $50 in compensatory damages for his FINRA filing fees. [read post]
8 Nov 2019, 8:31 am
FINRA Addresses Light Bulb and Coffee Cake Abuses(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4909/finra-beneficiary-bequest/As the old "light bulb and coffee cake" tale is told, a brokerage firm customer (often a widow) is befriended by the stockbroker who had handled her former husband's transactions. [read post]
27 Jun 2019, 6:14 am
2018 FINRA Annual Report http://www.finra.org/sites/default/files/2018_Annual_Financial_Report.pdf$29.2 million operating loss for 2018 versus $73.3 million operating loss for 2017. [read post]
7 Oct 2013, 6:57 am
Oertle submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Oct 2017, 4:15 am
Of course, try to do something nice and it inevitably attracts those among us who see an opportunity to make a few bucks -- as a recent FINRA regulatory settlement demonstrates.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 adjud... [read post]
5 Jun 2023, 4:09 am
Which brings us to a 2021 FINRA Arbitration Award. [read post]
6 Nov 2013, 5:37 am
Davey submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
2 Nov 2020, 8:07 am
Two Men Indicted For Allegedly Operating Multimillion Dollar Sports Betting Pyramid Scheme In Las Vegas / Defendants Allegedly Defrauded More Than 600 Investors (DOJ Release)Russian Cybercriminal Sentenced to Prison for Role in $100 Million Botnet Conspiracy (DOJ Release)SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 (SEC Release)FINRA Fines and Suspends Rep over Borrowing from Two CustomersIn the Matter of Timothy Aaron Engelmann, Respondent (FINRA… [read post]
