Search for: "Finra"
Results 7641 - 7660
of 18,153
Sorted by Relevance
|
Sort by Date
20 Jan 2017, 12:56 am
FINRA NAC Decision and First Amendment CommentaryAs set forth in the "Introduction "of the Amended Complaint:... [read post]
23 Aug 2019, 2:07 am
FINRA Arbitrators Order Stockbroker to Disgorge Future Bonuses to Ameriprise (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4777/finra-ameriprise-bonus/There is a mystique surrounding those litigants who enter the ring without a lawyer. [read post]
22 Jul 2018, 6:00 am
UPDATE:Non-Attorney Representatives Involved In FINRA Arbitration Blight (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4090/finra-arbitration-blight/No . . . the issue of non-attorney representatives is not amenable to a simple or quick solution. [read post]
18 Oct 2013, 10:55 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, Saxony Securities, Inc. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Apr 2014, 3:53 am
FINRA may unleash its own hounds on you! [read post]
5 Jun 2023, 4:09 am
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog) Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers (BrokeAndBroker.com Blog) Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation (BrokeAndBroker.com Blog) Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections Agencies… [read post]
31 Jul 2020, 4:48 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5362/securities-industry-commentator/SEC Finds It Has Jurisdiction To Review FINRA's Denial of Access to Its Arbitration ForumIn the Matter of the Consolidated Arbitration Applications for Review of Action Taken by FINRA (SEC Order)9Cir Reverses and Remands SEC v. [read post]
17 Sep 2022, 9:15 am
SEC Buries the Lede About Stunning Misconduct in Its Office of the Ombudsman (BrokeAndBroker.com Blog)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers (SEC Release)Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering / Crypto Asset Promoter Ian Balina Charged for Touting Tokens Without… [read post]
23 Aug 2019, 2:07 am
http://www.brokeandbroker.com/3620/saad-sec-finra/ This is a saga that starts in 2006 with alleged business expense misconduct; and then, from 2007 through 2019 moves -- or should we say slogs -- through an investigation, Complaint, hearings, appeals, remands, and appeals. [read post]
5 Feb 2014, 4:50 am
In a recent FINRA arbitration, the panel of arbitrators chided a public customer claimant for failing to present credible evidence. [read post]
22 Dec 2016, 8:29 am
On December 27, 2016, I published "UPDATE: Scottsdale Sues FINRA In Edgy Effort To Halt Disciplinary Case" (BrokeAndBroker.com Blog, December 27, 2016), which included a reference to "End The Politics Of Wall Street Regulation: Decentralize FINRA And The SEC" (BrokeAndBroker.com Blog, November 16, 2011). [read post]
1 Oct 2018, 5:28 am
BrokeAndBroker.com Blog publisher Bill Singer, Esq. has this thing about FINRA's expungement process -- he does not like it. [read post]
7 Feb 2022, 5:47 am
Fannin, Respondents (FINRA Arbitration Award)Ronin Capital Hit With $500,000 in Compensatory Damages in Labor DisputeJames Rego and Robert Hill, Claimant, v. [read post]
30 Jul 2019, 9:28 am
I looked up all the official categories of representatives on FINRA's website and, go figure, there's nothing about a Chat Representative and there isn't even an examination that you can take to become ... [read post]
2 Oct 2017, 4:03 am
FINRA certainly earned a nice buck providing its arbitration forum. [read post]
13 May 2022, 8:59 am
FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6456/finra-awc-z... [read post]
19 Nov 2022, 9:08 am
With only 4% of customer complaints being expunged, FINRA is bowing to pressure, presumably from the customer attorneys' bar, to again make it more difficult to remove false claims from a broker's public record.FINRA's recent proposed amendment seeks to make expungement an even more extraordinary remedy by preventing anyone found liable in a customer complaint case from even seeking it. [read post]
30 Jul 2013, 4:51 am
In the Matter of the FINRA Arbitration Between Edward Jones, Claimant, vs. [read post]
3 Apr 2020, 2:27 am
FINRA Statement on SEC's OCIE Risk Alerts for Reg BI and Form CRS (FINRA Release)The Fed is lifting Wells Fargo's asset cap so it can help lend to small business (CNBC by Jeff Cox)Farmers Are Panic-Buying to Keep America’s 95 Million Cows Fed / Fears of feed mill closures and trucking delays are driving the market. [read post]
26 Oct 2015, 3:53 am
In a recent FINRA regulatory set... [read post]
