Search for: "Finra"
Results 7761 - 7780
of 18,153
Sorted by Relevance
|
Sort by Date
6 Jun 2014, 4:38 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, Clifford Frank Staley submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
23 Aug 2019, 2:07 am
Korth & Company For Review of Disciplinary Action Taken by FINRA ... [read post]
5 Dec 2016, 2:33 am
There are two sets of considerations that should have come into play: One, what is required under FINRA's Borrowing Rule; and, two, what is required according to his firm's in-house policies. [read post]
27 Jul 2020, 12:54 am
Donald Anthony Wojnowski, Respondent (FINRA Arbitration Award)... [read post]
11 Dec 2020, 7:08 am
In furtherance of her claims, she moved to compel a FINRA arbitration, which the firm contested. [read post]
18 Sep 2013, 7:17 am
This is an update of “Former Wells Fargo Broker Rips Off Elderly Widow” (BrokeAndBroker.com, March 12, 2013)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, Adorean Boleancu submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
14 Nov 2017, 12:46 pm
Humpty Dumpty, FINRA, Sharing, Guarantee, And Losses http://www.brokeandbroker.com/3670/finra-humpty-dumpty/Many laws, rules, and regulations were apparently drafted by folks with a warped sense of humor and a penchant for irony. [read post]
6 Feb 2023, 3:08 am
FINRA Arbitrators Award Customer $144,000 Against Charles Schwab Amid Allegation of Flawed Investment Recommendations (BrokeAndBroker.com Blog) FINRA Arbitrator Denies Indemnification Citing Firm's Failure to Supervise (BrokeAndBroker.com Blog) Calling All Unreasonable Wall Street Professionals by Bill Singer Esq ‘Phishing-as-a-service’ kits are driving an uptick in theft: What you can learn from one business owner’s story (CNBC by… [read post]
6 Feb 2023, 3:08 am
Yeah, I know, there are in-house rules and FINRA rules. [read post]
15 Feb 2018, 2:11 am
In a recent FINRA intra-industry arbitration, a former associated person sued his former employer firm in an effort to obtain the expungement of disputed language from his Form U5/CRD records. [read post]
28 Sep 2015, 3:38 am
This is an UPDATE with revisions of "Federal Court Slams FINRA For Unqualified Lawyer Arbitrator" (BrokeAndBroker.com Blog, August 7, 2013). [read post]
30 May 2016, 5:47 am
By way of full disclosure, I misread the FINRA regulatory settlement about which today's blog is based. [read post]
20 Mar 2017, 3:28 am
In a recent FINRA public customer arbitration, the three arbitrators moved about as fast as possible to toss the case and recommend expungement. [read post]
7 May 2013, 5:54 am
In a recent regulatory settlement, one stockbroker found himself backed into just such a regulatory corner.A Winter of DiscontentFor 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, Homer Daniel Winter III submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which… [read post]
22 Apr 2022, 3:49 am
FINRA Arbitration Panel Slams Cetera Advisors with $3 Million Defamation Damages (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6420/cetera-fasanella-expungement/A former Cetera Financial associated person alleged that the FINRA member firm had engaged in a pre-meditated scheme to defame and wrongfully terminate his employment. [read post]
22 Mar 2019, 6:09 am
" In a recent FINRA expungement arbitration, a terminated employee sued his former firm in an apparent effort to win the removal of some unflattering language on his industry record. [read post]
2 Jul 2014, 2:52 am
Today's BrokeAndBroker.com Blog offering is based upon a truly superb FINRA Office of Hearing Officers ("OHO") Decision -- and, yes, that's rare praise from me! [read post]
20 Jul 2015, 3:15 am
In consideration that we would all rather be somewhere else today, here's a short BrokeAndBroker.com Blog involving a disgruntled employee suing a former employer in a FINRA arbitration and obtaining an award. [read post]
21 Aug 2008, 2:47 pm
FINRA Creates Process for Arbitrations Involving Auction Rate Securities, Marketwatch.com, August 7, 2008 Citigroup Returning $7 Billion To Auction-Rate Securities Investors, Courant.com, August 8, 2008 FINRA [read post]
17 May 2011, 9:00 am
Since 2006, only one pro se FINRA respondent successfully got charges dismissed. [read post]
