Search for: "Finra"
Results 7701 - 7720
of 18,153
Sorted by Relevance
|
Sort by Date
8 Apr 2014, 3:57 am
In the Matter of the FINRA Arbit... [read post]
19 Sep 2018, 2:32 pm
How do FINRA and the SEC parse enforcement issues for these hybrid advisers? [read post]
1 Feb 2019, 7:11 am
Using that data without the knowledge or consent of the owners, Payne purchased goods and services in excess of $21,000.Abandoned Car Wreck of Public Customer FINRA Arbitration(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4424/finra-arbitration-abando... [read post]
5 Feb 2018, 2:57 am
This is an update of "FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal" (BrokeAndBroker.com Blog, January 16, 2018). [read post]
3 Dec 2021, 12:59 pm
McLeod sued in state court, but BTIG argued that the proper forum for the dispute was before a FINRA arbitration panel. [read post]
27 Nov 2020, 12:05 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5566/securities-industry-commentator/Customer's Annuities Lawsuit Backfires During FINRA Arbitration (BrokeAndBroker.com Blog)Brummer v. [read post]
16 Dec 2013, 8:15 am
Chackman submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
3 Oct 2016, 4:07 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitratio... [read post]
24 Jan 2022, 2:27 am
Reifler For Review of Disciplinary Action Taken by FINRA (SEC Opinion)... [read post]
14 Dec 2018, 8:36 am
Wells Fargo Customer Left Town But Was In the Parking Lot But Wasn't, Sent Letter But Didn't, and Made Phone Call But Hadn't (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4348/finra-awc-wire/Before you read today's analysis of a recent FINRA regulatory settlement, place a large pillow on the floor directly under your chin because it may cushion the impact when your jaw hits the hardwood not once or twice but possibly three or more times. [read post]
25 Feb 2015, 6:34 am
In a recent FINRA regulatory settlement, we have the circumstance of a registered person who improperly charged his firm's credit card for personal expenses and managed to resolve things via a relatively modest suspension and a fine. [read post]
21 Aug 2018, 1:28 pm
While this may not seem like a big deal, like everything else with FINRA there is a trickle-down effect that can put many firms in a squeeze. [read post]
9 Aug 2019, 11:47 am
Case In PointIn a FINRA Arbitration Statement of Claim filed in April 2018, public customer Claimant Hu representing himself pro s... [read post]
4 Jun 2022, 5:57 am
The Nightmare of a Dream Job on Wall Street (BrokeAndBroker.com Blog)Southampton Woman Pleads Guilty to Elder Fraud Scheme (DOJ Release)Pair who went on the run after being found guilty of fraud at a now defunct precious metals firm, sentenced to prison / Defrauded 3,000 customers of more than $30 million (DOJ Release)SEC CHARGES NEW JERSEY SOFTWARE COMPANY AND SENIOR EMPLOYEES WITH ACCOUNTING-RELATED MISCONDUCT / Synchronoss Technologies to Pay $12.5 Million to Settle Charges, Former CEO to… [read post]
24 Apr 2023, 3:33 am
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital (BrokeAndBroker.com Blog) FINRA Arbitrators Checkmate SunTrust With Punitive Damages for Misuse of Rep's Name and Picture (BrokeAndBroker.com Blog) JPMorgan Seeks TRO Against Advisor Who Fled to Morgan Stanley / In a complaint filed last week, JPMorgan accused the advisor of criticizing its investment offerings and the advisor who replaced him, to induce clients to make the jump to Morgan Stanley. [read post]
29 May 2013, 4:21 am
Notwithstanding, it is critical to timely update your Form U4 to disclose such financial events.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, Dennis Joseph Snyder submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
21 May 2022, 10:04 am
94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)Stephen A. [read post]
13 May 2022, 8:59 am
Edward Jones Sued for $15 Million Over Book of Business (BrokeAndBroker.com Blog)Hacker and Ransomware Designer Charged for Use and Sale of Ransomware, and Profit Sharing Arrangements with Cybercriminals / Defendant, a Doctor, Designed Software With "Doomsday Counter," Shared in Profits from Ransomware Attacks, and Bragged about Use by Iranian State-Sponsored Hacking Group (DOJ Release)SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer /… [read post]
20 Sep 2018, 4:47 am
If that's the case, we start today's BrokeAndBroker.com Blog with a news story: Stockbrokers sue customer in a FINRA arbitration. [read post]
8 Jan 2018, 3:29 am
A Hard Rainmaker Gonna Fall At FINRA (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3768/finra-rainmaker-awc/ Paperwork. [read post]
