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19 Jun 2014, 8:56 am
Consider today's BrokeAndBroker.com Blog.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, Dudley Franklin Stephens submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Sep 2016, 10:17 am
Whatever it is, Wells Fargo comes out the victor in this settled FINRA arbitration. [read post]
3 Oct 2016, 5:43 am
Today's BrokeAndBroker.com Blog presents a story, which appears to have an ending in terms of a FINRA arbitration -- or maybe the ending was the expulsion and barring of certain key players. [read post]
1 Jun 2020, 2:04 am
In today's featured FINRA expungement arbitration, we get to deal with both of life's certainties. [read post]
9 Apr 2021, 6:00 am
Peirce)Associated Person Cites Favoritism and Retaliation in FINRA Arbitration... [read post]
23 Apr 2016, 4:51 am
As a registered representative with a FINRA member firm, you understand that prior to embarking upon that so-called outside business activity, you're required to provide your firm with prior written notice, which you did. [read post]
8 Jun 2016, 10:44 am
You could be fined and suspended if you fail to navigate the treacherous waters of FINRA's outside business activities and private securities transactions rules. [read post]
16 Jul 2018, 8:22 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, Mitchell Toby Yanow submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
1 Mar 2018, 5:30 am
When a former Citigroup Global Markets employee hits the firm with a FINRA Arbitration demand for over $16.5 million in damages, we know that there was likely a lot of bad blood engendered by what was alleged to be a wrongful termination. [read post]
28 May 2015, 3:24 am
A recent FINRA regulatory settlement involving a trip to the bathroom and a forgotten laptop perfectly illustrates this challenge.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, Sterne, Agee & Leach, Inc., submitted a Letter ... [read post]
3 Jan 2021, 7:28 am
A FINRA Regulatory Settlement That Hurts (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5630/finra-business-expenses/You didn't get the bonus you want... [read post]
13 Apr 2017, 10:43 am
READ Broker Dealer Owner Smoked By FINRA In Cannabis Deal BrokeAndBroker.com Blog publisher Bill Singer, Esq. is a stickler for detail when it comes to disclosures by Wall Street's regulators. [read post]
4 Mar 2018, 5:40 am
FINRA rejected the actions citing its rules forbidding class and collective arbitrations. [read post]
16 Jan 2014, 4:39 am
In the Matter of the FINRA Arbitration Betwee... [read post]
5 Feb 2018, 3:01 am
Sterne Agee Broker's IPO Trading In Away Account Earns FINRA Sanctions (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3815/sterne-agee-ipo/Word has it that there's been a surge in initial public offerings. [read post]
1 Aug 2022, 4:04 am
Wells Fargo (BrokeAndBroker.com Blog)Georgia Appeals Court Reverses Decision Alleging 'Secret Agreement' in FINRA Arbitration / The court overturned a decision involving a FINRA arbitration ruling in favor of Wells Fargo, several months after the regulator commissioned a study to examine the case (WealthManagement by Patrick Donachie)Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflicts of Interest (SEC Staff Bulletin)SEC Charges… [read post]
3 Jan 2023, 3:20 am
Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000 (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6821/janney-finra-arbitration/Those getting sued tend to anticipate that initial demands for damages will be bloated, padded, and a tad over the top. [read post]
20 Jun 2020, 1:50 am
AND A FINRA FINE AND SUSPENSION!!! [read post]
30 Jan 2018, 4:56 am
FINRA Stuffs Stifel's Trading Ahead Exemptions http://www.brokeandbroker.com/3803/finra-stifel-trading-ahead/ Few aspects of regulating Wall Street are more fundamental than those requiring that public customers get the best execution for their orders, particularly when the customers' orders and those of their brokerage firm are competing to get filled at the best price. [read post]
1 Aug 2022, 4:04 am
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible (BrokeAndBroker.com Blog)FINRA Censures and Fines JP Morgan Securities In High-Profile Beverley Schottenstein Case (without naming Schottenstein!) [read post]
