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11 Jun 2018, 9:20 am
PCAOB Audits by Stephen Kohn (BrokeAndBroker.com Guest Blog)http://www.brokeandbroker.com/4026/pcaob-kohn-/FINRA Small Firm advocate and industry reformer Stephen Kohn views the PCAOB Audi as "one of the most egregious requirements stuffed down our throats that I can remember in my 22 years of small firm ownership. [read post]
11 Jun 2018, 9:14 am
For FINRA’s full findings see FINRA case # 2017055941601. [read post]
11 Jun 2018, 7:54 am
According to FINRA BrokerCheck, a number of investors have already filed claims against Mr. [read post]
10 Jun 2018, 6:18 am
In December 2017, FINRA barred Kitts from the securities industry when she failed to respond to requests for information concerning her activities. [read post]
9 Jun 2018, 1:04 pm
FINRA suspended Sica for three months. [read post]
Advisor Neil Fineman Barred By Regulator For Selling $2.5 Million in Private Securities Transactions
9 Jun 2018, 1:03 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Neil Fineman (Fineman), operating under the d/b/a Executive Wealth Strategies, in December 2017, was barred from the financial industry by FINRA concerning allegations that he engaged in private securities transactions. [read post]
8 Jun 2018, 12:12 pm
Wedbush Securities is in hot water with the SEC, FINRA, and the New York Stock Exchange for a scheme involving its owner and founder, Edward Wedbush. [read post]
8 Jun 2018, 12:07 pm
Delorme has also been the subject of a recent FINRA customer dispute alleging $250,000 in damages. [read post]
8 Jun 2018, 12:01 pm
” FINRA also requires that its members refrain from engaging in fraudulent or deceptive practices with their customers. [read post]
8 Jun 2018, 11:53 am
FINRA requires that its members refrain from engaging in fraudulent or deceptive practices. [read post]
8 Jun 2018, 11:30 am
FINRA Rule 3110 is the main rule discussing supervision. [read post]
8 Jun 2018, 11:17 am
FINRA then referred the investigation to its Legal Section of FINRA Market Regulation; NYSE finally took over the investigation in 2016. [read post]
8 Jun 2018, 6:46 am
Fortunately, in the appropriate circumstances, brokers can have marks removed from the CRD in FINRA arbitration or court proceedings. [read post]
8 Jun 2018, 6:46 am
Fortunately, in the appropriate circumstances, brokers can have marks removed from the CRD in FINRA arbitration or court proceedings. [read post]
7 Jun 2018, 12:02 pm
FINRA will conduct a public records search within 15 days of an applicant’s Form U4 filing. [read post]
7 Jun 2018, 11:46 am
A Miami broker, formerly with Citigroup, won a nearly $4 million award in a recent FINRA arbitration case regarding wrongful termination. [read post]
7 Jun 2018, 10:57 am
If so, the securities attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
7 Jun 2018, 10:26 am
FINRA and JAMS. [read post]
7 Jun 2018, 10:18 am
Wall Street can be a frustrating, infuriating, puzzling, and perplexing place to work. [read post]
7 Jun 2018, 8:21 am
(FINRA Case #2015046052701) Jodie Ann LaMarre (CRD #2127928, Sarasota, Florida)– An AWC (Accept, Waiver & Consent) was issued in which LaMarre was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one year. [read post]
