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30 Jul 2018, 6:34 am
Just off the press, we have: FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry (FINRA Special Notice July 30, 2018 / Comment Period Expires: October 12, 2018)http://www.finra.org/sites/default/files/Special-Notice-073018.pdf As set forth in the "Summary" of the Special Notice [Ed: footnotes omitted]:New financial technology innovations, commonly known as “fintech,” can offer benefits for investors and the… [read post]
29 Jul 2018, 1:46 pm
Thereafter, in May 2018, FINRA barred him from the financial industry after Knee consented to the sanction due to his refusal to appear for testimony requested by FINRA in connection with their investigation into allegations that he misappropriated customer funds. [read post]
29 Jul 2018, 1:44 pm
FINRA makes this information public so that investors can have a better sense of their brokers. [read post]
29 Jul 2018, 1:42 pm
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
29 Jul 2018, 1:47 am
Case In Point: Kaplan AWCFor 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 i... [read post]
27 Jul 2018, 1:25 pm
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]
27 Jul 2018, 11:54 am
FINRA Eligibility Rule The first type of limitation is an eligibility cutoff that can bar access to the arbitration forum operated by the Financial Industry Regulatory Authority, better known as FINRA. [read post]
27 Jul 2018, 9:26 am
FINRA Broker Disciplinary Action Report April 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
27 Jul 2018, 8:26 am
If you have suffered losses in CCPT IV, you may have recourse through FINRA Arbitration. [read post]
27 Jul 2018, 8:11 am
Thomas Murray (CRD #721725) has received a securities arbitration claim according to the Financial Industry Regulatory Authority (FINRA) CRD system. [read post]
27 Jul 2018, 8:00 am
John Bryant (CRD #3202048) was recently discharged by Wells Fargo over concerns about similar trading strategies in multiple customer accounts and has received a customer dispute according to publicly available records published by the Financial Industry Regulatory Authority (FINRA). [read post]
27 Jul 2018, 7:56 am
FINRA’s investigation was in connection with Dixon’s termination from Morgan Stanley. [read post]
27 Jul 2018, 7:54 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) David Scholl (Scholl) appears to be an agent for Woodbridge fraudulent note sales. [read post]
27 Jul 2018, 7:53 am
Claims may be brought in securities arbitration before FINRA. [read post]
27 Jul 2018, 7:26 am
Samuel Haddix (CRD #4427350) is barred from association with any FINRA member in any capacity. [read post]
26 Jul 2018, 1:31 pm
David Olson (CRD #1700644) was barred from association with any FINRA member in all capacities. [read post]
26 Jul 2018, 1:13 pm
Sanders Spangler (CRD #4188542) was barred from association with any FINRA member in all capacities. [read post]
26 Jul 2018, 1:07 pm
Gary Basralian (CRD #14385) was barred from association with any FINRA member in all capacities. [read post]
26 Jul 2018, 12:54 pm
Lawrence Fawcett (CRD #5851474) was barred from association with any FINRA member in all capacities. [read post]
26 Jul 2018, 12:04 pm
FINRA provides an arbitration forum for investors to resolve disputes. [read post]
