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30 Aug 2018, 9:25 am
The Financial Industry Regulatory Authority (FINRA) has barred J. [read post]
30 Aug 2018, 8:36 am
How does FINRA protect investors against Financial Advisor Misconduct? [read post]
30 Aug 2018, 7:52 am
(FINRA Case #2016051931501) Michael Terry Swingle (CRD #723350, Dunedin, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Swingle was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for 18 months. [read post]
30 Aug 2018, 7:12 am
In a recent FINRA regulatory settlement, we know how things turned out: a stockbroker is barred. [read post]
30 Aug 2018, 6:54 am
In the aftermath of Hurricane Maria, Puerto Rico was devastated. [read post]
30 Aug 2018, 5:15 am
(“HTI”), may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stock broker. [read post]
29 Aug 2018, 1:49 pm
Bradley Joseph Tennison (CRD #1561988) is a former registered broker and investment advisor who has recently been barred by FINRA. [read post]
29 Aug 2018, 9:26 am
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
29 Aug 2018, 9:18 am
FINRA began conducting an investigation sometime in 2013, during which it requested information from Ms. [read post]
29 Aug 2018, 9:07 am
FINRA, the Financial Industry Regulatory Authority, has filed a disciplinary action against Hotton which is still pending. [read post]
29 Aug 2018, 8:17 am
NASAA asked the SEC to confirm that the rule’s obligations would be enforceable through FINRA arbitration or private litigation. [read post]
28 Aug 2018, 3:31 pm
It will be interesting to see if FINRA achieves its stated goals with this new structure. [read post]
28 Aug 2018, 3:05 pm
In a very interesting webcast, the FINRA staff discusses how FINRA rules are made and reviewed. [read post]
28 Aug 2018, 2:42 pm
Most FINRA arbitration awards are unanimous. [read post]
28 Aug 2018, 11:30 am
According to FINRA Disciplinary actions for August 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Lindsey Brown Michael Dalton Charles Schwab & Co., Inc William Downing Coastal Equities, Inc. [read post]
28 Aug 2018, 11:20 am
According to FINRA Disciplinary actions for August 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Thomas Bennett Bancwest Investment Services, Inc U.S. [read post]
28 Aug 2018, 11:12 am
The post In August 2018, FINRA Bars Registered Individuals for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
28 Aug 2018, 9:12 am
As a result, Oppenheimer agreed to settle FINRA’s claim and pay $57,500 in fines, as well as compensating the affected customers for the unfair prices they received. [read post]
28 Aug 2018, 8:32 am
Pennsylvania Brokerage Firm, Trustmont Financial Accused of Breaching Fiduciary Duty According to a FINRA award posted on FINRA’s site this week, investor James E. [read post]
28 Aug 2018, 7:25 am
(FINRA Case #2015046971701) Gregory J. [read post]
