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3 Jun 2013, 10:11 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, Huel Cox, Jr. submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
25 Nov 2014, 2:52 am
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 adjudication of any issue, David Johnson Whiting submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
18 Sep 2023, 4:46 am
Current Goldman Chief Legal Officer and General Counsel Kathryn Ruemmler fills the Floor Member Governor's seat on FINRA's Board and serves on FINRA's Nominating & Governance Committee and its Regulatory Policy Committee. [read post]
11 Dec 2020, 7:08 am
In today's featured lawsuit, a Panel of FINRA Arbitrators ordered Morgan Stanley to produce discoverable materials by midnight. [read post]
3 Jun 2015, 9:52 am
, FINRA regulatory settlements involving three annuities transactions and the seemingly generous offer of one registered representative to "give up" the transactions to an apparently struggling colleague. [read post]
25 Apr 2016, 3:47 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2015, FINRA member firm Claimant Janney Montgomery Scott LLC sought to recover the balance on two promissory notes dated April 20, 2014, and May 16, 2014, from former associated person Respondent Kelleher. [read post]
18 Jul 2018, 6:02 am
All of which prompted him to file a FINRA arbitration seeking damages. [read post]
12 Jul 2018, 5:35 am
PUBLIC NOTICE to all FINRA Candidates for Board of Governors. [read post]
3 Jan 2021, 7:28 am
Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification (BrokeAndBroker.com Blog)SEC Obtains Final Judgment Against Investment Adviser Who Misappropriated Over $5 Million from Clients (SEC Release)Untimely Disclosure of Tax Liens Upends Chief Compliance Officer Via Statutory Disqualification (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5629/finra-holeman-liens/Today's blog considers a Wall Street career that began in 1966, when… [read post]
29 Oct 2021, 11:44 am
The FINRA Arbitration Award asserts that the "causes of action relate to Nvidia stock. [read post]
4 Mar 2022, 10:21 am
Angry E*TRADE Customer Can't Find 750 Shares of Tesla (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6337/finra-arbitration-etrade-tesla/An angry E*TRADE customer filed a FINRA Arbitration alleging that he was entitled to 750 post-split shares of Tesla because the brokerage firm somehow misplaced 150 pre-split shares. [read post]
2 Oct 2020, 8:47 am
In a 2019 FINRA arbitration, a public customer representing himself pro se sought to recover hundreds of thousands of dollars in put-sales losses. [read post]
12 Feb 2018, 3:22 am
30 Months Of Violations Under FINRA's Nose (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3827/FINRA-30-Months/ There are times when the Financial Industry Regulatory Authority's regulation of its Wall Street member firms looks a lot like someone reading toe-tags in the morgue. [read post]
25 Mar 2021, 4:03 am
First Circuit Remands NY Life Racism Case to FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5774/finra-arbitration-racism/Fourteen-year veteran New York Life employee Ketler Bosse was the company's first African-American District Agent. [read post]
19 Dec 2022, 3:25 am
FINRA and Citigroup Global Markets Not SHO Enough (BrokeAndBroker.com Blog)Federal Court Denies Reconsideration of FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)CFPB Orders Wells Fargo to Pay $3.7 Billion for Widespread Mismanagement of Auto Loans, Mortgages, and Deposit Accounts / Company repeatedly misapplied loan payments, wrongfully foreclosed on homes and illegally repossessed vehicles, incorrectly assessed fees and interest, charged… [read post]
20 Sep 2021, 8:05 am
FINRA, Crypto, Covid, and Outside Business Activities (BrokeAndBroker.com Blog)Treasury Takes Robust Actions to Counter Ransomware / Targets First Virtual Currency Exchange for Laundering Cyber Ransoms/ OFAC Updates Ransomware Advisory to Encourage Reporting and Cyber Resilience (United States Department of the Treasury Press Release)SEC Obtains Judgment Against Fund Manager and Bars Him from Appearing or Practicing Before the SEC (SEC Release)SEC Charges Crowdfunding Portal, Issuer, and… [read post]
12 Jun 2013, 3:29 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, Stephen Blair Sherwood submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
22 Feb 2017, 8:42 am
In a recent FINRA arbitration, an unhappy customer filed a claim against the brokerage firm and demanded a humongous amount of damages. [read post]
15 Aug 2014, 10:53 am
I promise that there is something in here about a debit card, toking, and Lawrence Welk.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 adjudication of any issue, Pedro Castaneda submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Nov 2020, 12:05 pm
No, there is no simple, direct process by which he can clear his name and gains recompense for his ordeal.2019 FINRA Expungement ArbitrationIn a FINRA Arbitration Statement of Claim filed in June 20... [read post]
