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21 Oct 2016, 5:16 am
Today, Bill is very frustrated with an intra-industry FINRA arbitration. [read post]
19 Sep 2013, 8:22 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, PNC Investments LLC submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
15 Mar 2019, 6:26 am
Merrill Lynch Wins A Round Against Former Employees in FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4493/merrill-lynch-finra/For some four decades from 1959 until his retirement in 1998, James A Billington was an associated person of Respondent Merrill Lynch and its former Western Regional Director. [read post]
10 Dec 2014, 4:36 am
As Bill so often asks in exasperation with FINRA: What the hell happened here and why won't you tell us? [read post]
10 May 2019, 5:08 am
Today, Bill is left in a state of stunned silence by a phenomenal FINRA Arbitration Decision, which found that a former JP... [read post]
12 Mar 2021, 11:31 am
Peirce)The Grandfather FINRA OBA Paradox (BrokeAndBroker.com Blog)... [read post]
28 May 2021, 8:56 am
Framework for Chief Compliance Officer Liability in the Financial Sector (Report by the New York City Bar Association/Compliance Committee, Association for Corporate Growth, American Investment Council, and SIFMA)Now You See It, Now You Don't -- FINRA Rule 2010 Applied by OHO But Rejected by NAC (BrokeAndBroker.com Blog)Former Financial Advisor Sentenced To Five Years In Prison For Fraud (DOJ Release)SEC Charges Ohio and Pennsylvania Residents with Offering Fraud and Misappropriating… [read post]
9 Apr 2018, 7:45 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration State... [read post]
15 May 2015, 6:56 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... [read post]
11 Feb 2016, 4:56 am
Mularski submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
1 Dec 2014, 2:14 am
Consider this recent settlement involving a CCO, FINOP, and an expelled FINRA member firm.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... [read post]
14 Jun 2019, 6:19 am
Just going by the FINRA Arbitration Decision, you're not all that worked up about the she-says-they-say aspect of the dispute, and, hey, who the hell really knows, right? [read post]
1 Jun 2020, 2:04 am
Gordon, Respondents (FINRA Arbitration Decision)Swiss Attorney Sentenced for Participating in Global Pump-and-Dump S... [read post]
30 Mar 2014, 10:29 am
Bernhard submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
8 Jun 2020, 12:20 am
FINRA Arbitrator Troubled by Rep's Advance Collection of Asset Management Fees (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5267/finra-arbitration-fees/Where there's smoke, there's fire. [read post]
21 May 2022, 10:04 am
Frankly, it all comes off as high dudgeon, which, like a powerful message is a bit of hyperbole because, when you think of it, has anything ever been called low dudgeon or just plain old dudgeon -- as if the SEC would admit to sending a tepid message.94 Days And Counting For FINRA's Independent Review Of Its Arbitration Selection Process (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6457/finra-leggett-audit/On February 18, ... [read post]
15 Apr 2018, 6:10 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, Instinet, LLC, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
15 Apr 2018, 6:58 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA... [read post]
24 Sep 2021, 2:46 pm
(BrokeAndBroker.com Blog)Protecting Investors from Misconduct / FINRA Adopts Rules to Address Firms With a Significant History of Misconduct / Effective Date: January 1, 2022 (FINRA Regulatory Notice)Lexington Man Sentenced to 120 Months for Investment Fraud (DOJ Release)U.S. [read post]
21 Mar 2016, 11:21 am
Case In Point 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, Edwin Pereira de Andrade submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
