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16 Aug 2018, 5:38 am
The BrokeAndBroker.com Blog's publisher, Bill Singer, has long advocated for the creation of an Anti-Fraud Fund on Wall Street to serve as a back-stop for defrauded public investors who obtain awards of compensatory damages against insolvent industry firms and registered representatives. [read post]
15 Aug 2018, 12:38 pm
The recent Financial Industry Regulatory Authority (“FINRA”) announcement about federal enactment of a substantial piece of legislation that will likely delay close of some foreign direct investment (“FDI”) deals overseen by the Committee on Foreign Investment in the United States (“CFIUS”). [read post]
15 Aug 2018, 12:24 pm
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
15 Aug 2018, 10:46 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
15 Aug 2018, 7:11 am
Regarding proposed Reg BI, SIFMA recommended that the definition of “retail customer” be harmonized with FINRA’s definition because the definition as proposed would result in inconsistent and redundant compliance structures.SIFMA also urged the SEC to incorporate the “reasonable investor” definition of materiality set forth in Basic v. [read post]
15 Aug 2018, 5:56 am
., and the Financial Industry Regulatory Authority (FINRA) – and it is with the latter agency that the company has come under intense scrutiny over the last couple of decades. [read post]
15 Aug 2018, 5:28 am
The FINRA rules must also be compatible with the Pay-to-Play Rule’s principles. [read post]
14 Aug 2018, 1:32 pm
FINRA Bars Buck Over Unauthorized Trading In July 2015, the Financial Industry Regulatory Authority barred Buck from associating with any firm that was a member of FINRA because the self-regulatory firm believed that he had engaged in unauthorized trading and had improperly charged clients. [read post]
14 Aug 2018, 12:26 pm
Open Letter to the Financial Industry Regulatory Authority'sPresident and Chief Executive Officer Robert Cook, Chairman of the Board Bill Heyman, and Board of GovernorsOn August 14, 2018, the BrokeAndBroker.com Blog published "Breathtaking Dissent In Industry Arbitration Asks Court To Sanction FINRA" (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/4133/finra-dissent-hasko/, which analyzed the intra-industry FINRA… [read post]
14 Aug 2018, 12:13 pm
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
14 Aug 2018, 11:03 am
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
14 Aug 2018, 7:12 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
14 Aug 2018, 6:13 am
According to publicly available records with FINRA online, Anthony Diaz has been permanently barred from the securities industry, and has 56 disclosures on his CRD report. 44 of these are customer complaints against him. [read post]
13 Aug 2018, 2:08 pm
A FINRA arbitration panel ordered Windsor Street Capital, to pay two customers more than $1.3 million in compensatory damages, interest, punitive damages of over $3,000,000, attorneys fees in the amount of $552,321 and sanctions in the amount of $44,450 for churning customer accounts. [read post]
13 Aug 2018, 1:31 pm
Both are accompanied by correlating FINRA arbitration cases. [read post]
13 Aug 2018, 1:22 pm
Continue reading The post FINRA Gives Broker Jeffrey Fanning Suspension, Fines appeared first on Securities Arbitration Lawyers Blog. [read post]
13 Aug 2018, 1:14 pm
FINRA recently suspended Parker for one month, and fined him $7,500 related to his activities with a client’s accounts. [read post]
13 Aug 2018, 12:40 pm
Rosalia’s FINRA record contains 16 disclosures. [read post]
13 Aug 2018, 11:28 am
In 2016, Sullivan was suspended by FINRA for 10 days and fined $5,000 for “exercising discretion” with two customer accounts without prior written authorization from the clients, and without written permission from the firm. [read post]
13 Aug 2018, 10:25 am
Ray Gene Reese (CRD #1694620) is a FINRA Broker and Investment Advisor with Money Concepts Capital Corp (CRD #12963) of Farmington, MO. [read post]
