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8 Aug 2018, 12:10 pm
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
8 Aug 2018, 12:07 pm
Former broker Sean Aaron Brady (CRD #4365173) has been barred by FINRA after multiple customer complaints and he was discharged by his employer. [read post]
8 Aug 2018, 11:47 am
Brunner was indefinitely barred from affiliation with any FINRA broker, effective 04/06/2018. [read post]
8 Aug 2018, 9:08 am
” For this misconduct, he was fined $10,000 and suspended from association with any FINRA member firm for two weeks. [read post]
8 Aug 2018, 9:05 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), former Robert W. [read post]
8 Aug 2018, 5:10 am
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
7 Aug 2018, 1:19 pm
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses through FINRA Arbitration. [read post]
7 Aug 2018, 12:15 pm
FINRA Rule 2165 focuses on preventing the financial exploitation of certain “specified adults”. [read post]
7 Aug 2018, 9:07 am
FINRA NEWS AND SPEECHES—FINRA seeks comment on fintech innovation, potential rule and program modifications FINRA is soliciting comment on financial technology and innovation, particularly in connection with the provision of data aggregation services, supervision of artificial intelligence use, and the development of a machine-readable rulebook. [read post]
7 Aug 2018, 7:25 am
FINRA also expelled Sisk Investment Services on 6/22/2018. [read post]
6 Aug 2018, 2:24 pm
On July 30, 2018, the Financial Industry Regulatory Authority (“FINRA“) published a Special Notice, in response to requests from the public, “seeking comments on how FINRA can support fintech development consistent with [its] mission. [read post]
6 Aug 2018, 10:28 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
6 Aug 2018, 6:30 am
(FINRA Case #2016050492101) Walter Warren Parker (CRD #2131232, Wylie, Texas) – An AWC (Accept, Waiver & Consent) was issued in which Parker was fined $7,500 and suspended from association with any FINRA member in all capacities for one month. [read post]
6 Aug 2018, 3:00 am
An entity that wants to operate an ATS must first register with the SEC as a broker-dealer, become a member of a self-regulating organization, such as FINRA, and file an initial operation report with the SEC on Form ATS. [read post]
3 Aug 2018, 9:32 am
FINRA's recent Investor Alert struck a dark chord. [read post]
3 Aug 2018, 9:03 am
., a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities Exchange Commission (“SEC”), as well as Merrill Lynch International Finance, Inc. [read post]
3 Aug 2018, 6:52 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
3 Aug 2018, 6:49 am
A similar claim, excessive trading, under FINRA’s suitability rule involves just the first two elements. [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
2 Aug 2018, 12:59 pm
The Financial Industry Regulative Authority (FINRA) provides this information to the public because it is material for consumers to know whether or not their advisor’s financial situation influences the advisor’s recommendations. [read post]
