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5 Nov 2018, 7:42 am
FINRA barred Simanksi in June 2016 from associating with any FINRA member at any time. [read post]
26 Mar 2018, 12:06 pm
They must ensure they are complying with FINRA rules. [read post]
13 Apr 2017, 11:05 am
FINRA determined that Andrew G. [read post]
21 Jun 2020, 9:03 am
FINRA found that Kennedy provided partial but incomplete responses to FINRA’s requests and then subsequently ceased cooperating with the investigation. [read post]
16 Jul 2011, 8:52 pm
During the FINRA hearing, witnesses testified that it was Wedbush president and founder Edward W. [read post]
5 Apr 2019, 12:59 pm
FINRA’s CRD Report give the entire history of employment as well as any disputes and terminations the broker may have been involved with.Some Brokers Have Been Permanently BarredSome brokers have gone so far that FINRA has barred them permanently from practicing as financial professionals. [read post]
27 Feb 2023, 10:00 pm
The latest delay for the FINRA Rule 4210 amendments regarding covered agency transactions —originally approved in the summer of 2016—should serve as a cautionary tale regarding the outer limits of self-regulatory organization (SRO) rulemaking authority. [read post]
10 Dec 2021, 11:15 am
The Levin Papantonio Rafferty law firm has filed a claim in FINRA Arbitration against Spartan Capital Securities regarding sale of Alzamend Neuro (ALZN) stock to a customer of Spartan. [read post]
15 Dec 2010, 6:50 pm
Kudos to Pepperdine for obtaining a grant from FINRA’s Investor Education Foundation to start a clinic in which students represent investors with small claims in securities mediations and arbitrations. [read post]
5 Mar 2018, 1:32 pm
Andrew Stoltmann discuss with Investment News Merrill Lynch’s “disingenuous” attempts to slither off the hook and have claims filed by former firm executives heard in court rather than in the FINRA arbitration forum. [read post]
27 Feb 2023, 10:00 pm
The latest delay for the FINRA Rule 4210 amendments regarding covered agency transactions —originally approved in the summer of 2016—should serve as a cautionary tale regarding the outer limits of self-regulatory organization (SRO) rulemaking authority. [read post]
18 Dec 2020, 9:41 am
It's A Schottenstein Family Affair In FINRA Arbitration (BrokeAndBroker.com Blog)SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million (SEC Release)Former registered broker admits to involvement in options trading scheme (DOJ Release)SEC Charges Former Day Trader with Market Manipulation Scheme (SEC Release)... [read post]
18 Jun 2009, 1:17 pm
If you accept the unfairness premise as begin true, why aren’t we discussing the fact that the SEC (through its underling, FINRA) forces individuals to arbitrate their claims, by use of a rule that requires every employee of the [...] [read post]
22 Oct 2020, 5:46 pm
With the comment period closing today, the SEC will consider a FINRA proposal to make some relatively minor changes to how the current process for expunging public records works. [read post]
29 May 2014, 2:44 am
Stockbroker In Auction Rate Securities Expungement QuicksandMay 30, 2014Yet again, another registered representative is entangled in the Auction Rate Securities mess and gets snagged in the idiotic web of FINRA's expungeme... [read post]
31 Jul 2013, 8:00 am
However, the percentage of awards going unpaid has more than doubled recently, FINRA’s internal statistics show. [read post]
26 Jan 2015, 3:28 am
While good securities counsel and financial accounting prowess will typically keep track of your regularly scheduled filings with the SEC, NASD and FINRA (depending on what you do), it is important for the company and its officers to understand the required forms and what triggers... [read post]
1 May 2012, 10:17 am
The Financial Industry Regulatory Authority (FINRA) is investigating and considering legal action against a “captive” broker-dealer of a real estate investment company for the second time in three years. [read post]
31 Oct 2023, 10:00 pm
(FINRA), currently the only RNSA, must now adopt rules implementing the infrastructure for such reporting and dissemination. [read post]
22 Jun 2011, 1:02 pm
FINRA, the SEC and five state regulators from Alabama, Kentucky, Mississippi, South Carolina and Tennessee announced today that each has settled enforcement proceedings against Morgan Keegan & Company, Inc. [read post]
