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5 Feb 2018, 2:58 am
Allegedly, Harris and another individual (Durand) decided to tell FINRA investigators, in part, that their deposits of the proceeds of the cited wire transfers had res... [read post]
30 Sep 2013, 7:20 am
A FINRA arbitration panel wrestles with a case involving three customer claimants and five industry respondents. [read post]
27 Nov 2013, 4:46 am
Unfortunately, this isn't gym glass, and the penalties for an infraction are far worse than ten push-ups.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, William Larry Hogue, Jr., submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Nov 2021, 6:37 am
Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6172/finra-arbitration-oba/Today's reported FINRA intra-industry arbitration is somewhat sad in nature. [read post]
21 Feb 2014, 3:53 am
In today's BrokeAndBroker Blog we consider a FINRA arbitration in which a registered person's lawyer certainly went the distance in asserting the bases for damages. [read post]
7 Nov 2020, 3:38 am
. (“FINRA”) filed a Complaint charging that, in July 2006, John M.E. [read post]
15 Oct 2018, 1:37 pm
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2018, associated person Claimant Dachtler sought the expungement from his Central Registration Depository record ("CRD") of a settled FINRA ar... [read post]
6 Dec 2019, 12:39 am
UBS Financial Services Inc., Respondent (FINRA Arbitration Decision)Federal Court Does Not Condone E*Trade's Onboarding Sloppiness But Keeps Injunction Against Former Rep in Place. [read post]
12 Feb 2018, 3:20 am
In a recent FINRA arbitration, a former Oppenheimer & Co. employee is representing himself against his former firm's demands for repayment of compensation. [read post]
18 Jul 2022, 4:06 am
Join Aegis as he tries to make sense out of the senseless.GUEST BLOG: FINRA and Another Nail . . . [read post]
29 Apr 2013, 6:33 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 regulatory hearing, and without an adjudication of any issue, Akber Syed submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
17 Jun 2013, 10:44 am
Consider the ramifications to one Wall Street employee's career when the sender may not have been the customer.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, Jennifer Marie Burton submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Jun 2019, 6:14 am
FINRA is oh-so-quick to step in and assist its members' collection efforts of unpaid promissory note balances, or the debits arising from NSF checks or kited funds. [read post]
18 Aug 2014, 7:05 am
Here we go again with another installment of Hide-And-Seek courtesy of Wall Street's self-regulator FINRA. [read post]
15 Aug 2016, 5:57 am
Consider yet another FINRA regulatory settlement involving borrowing by a stockb... [read post]
11 Jul 2022, 3:51 am
Spurrier Capital Partners LLC, Respondent (FINRA Arbitration Award)Durham, N.C. [read post]
6 May 2022, 2:02 pm
We got a FINRA arbitration about Wells Fargo's efforts to collect $1.6 million in balances due. [read post]
10 Jan 2014, 2:34 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 regulatory hearing, and without an adjudication of any issue, Jesse Chandler Skirvin submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
21 Aug 2020, 12:18 am
The Boogie Woogie Crypto Man of Company C (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5399/finra-awc-yniquez/In a recent FINRA regulatory settlement, we come across a rep who was sucked into the fascinating, fabulous, and perplexing world of cryptocurrency. [read post]
16 Jul 2019, 1:01 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4708/securities-industry-commentator/UPDATE: 2019 FINRA Contested Small Firm Election: Vote for Linde Murphy(BrokeAndBroker.com Blog)Former Precious Metals Trader Pleads Guilty to Attempted Commodities Price Manipulation (DOJ Release)Principal Of Cryptocurrency Escrow Company Charged In Manhattan Federal Court With Fraudulent Scheme Involving… [read post]
