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15 Jun 2012, 12:52 pm
Brookstone Securities of Lakeland, Florida, which was found to have committed of securities fraud by a FINRA Hearing Panel, reportedly shut down effective June 14, 2012. [read post]
30 Oct 2023, 6:17 am
from our companion publication"Securities Industry Commentator" https://www.rrbdlaw.com/7185/securities-industry-commentator/ UPDATE: Federal Court Confirms Multi-Million Dollar FINRA Arbitration Award for Charles Schwab Against Morgan Stanley (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [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]
23 Jan 2020, 4:15 pm
For some time, FINRA has allowed stockbrokers to suppress complaints from their record through an expungement process. [read post]
4 Jun 2021, 2:04 pm
FINRA Fines and Suspends LPL Rep For Paying Commissions to an Unregistered Person (BrokeAndBroker.com Blog)Michigan Man Admits Defrauding Business Opportunity Buyers of More Than $5 Million (DOJ Release)Burlington County Man Sentenced to 65 Months in Prison for Defrauding Investors of Over $1.5 Million (DOJ Release) ... [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]
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]
17 Sep 2014, 11:47 am
Adam Gana, managing partner of Gana LLP was quoted in an article by Suleman Din entitled “Hammered by FINRA in Dispute with Morgan Stanely, Advisor Pays $200k. [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]
8 Aug 2022, 11:50 am
A recent report from AARP and FINRA reminds us to not blame victims of financial frauds. [read post]
9 Jan 2018, 8:55 am
Rehak CRD#2331058 Silver Law Group is investigating Pompano Beach, Florida-based LPL Financial broker Leon Rehak, after multiple customer allegations of misrepresentation and unsuitable recommendations were received by FINRA. [read post]
17 Jun 2014, 5:11 am
Read OnMimsy FINRA Borogoves Defeat Frumious Expungement BandersnatchJune 19, 2014... [read post]
22 Aug 2010, 8:28 am
Trust and the Investment Adviser Industry: Congress’ Failure to Realize Finra’s Potential to Restore Investor Confidence, by James T. [read post]
16 Aug 2010, 1:03 pm
On August 11 I was a panelist at the PLI-Securities Arbitration 2010 program held in New York City, an annual event that reviews recent developments in FINRA's arbitration rules and practice, as well as updates on judicial developments. [read post]
18 Jul 2011, 5:30 am
The Dealbook reports that the Financial Regulatory Authority (Finra), recently announced the one-year suspension of broker (plus a $10,000 fine) who sent “misrepresentative and unbalanced” messages on Twitter. [read post]
9 Sep 2011, 12:35 pm
.; SNR Denton grabs three M&A lawyers; and Fried Frank adds a FINRA lawyer in New York. [read post]
21 Dec 2017, 2:11 pm
As a follow-up to my last post, the comment period on whether Non-Attorney Representatives (NARS), should be allowed to represent investors in FINRA arbitration has now closed. [read post]
5 Oct 2009, 2:59 pm
Excerpt from Rick Ketchum, Chairman & CEO, FINRA, Fordham University Ethics and Regulatory Conference, October 2, 2009: Retail Sales Responses I'd like to turn now to the retail side of our markets, where there's more direct interaction with individual investors.... [read post]
24 Jan 2018, 7:49 am
I discuss with Investment News the case, the odds of collecting against their rogue broker and FINRA’s significant unpaid arbitration award problem. [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]
