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15 Feb 2012, 3:01 am
FINRA?) [read post]
8 Feb 2012, 4:53 am
FINRA?) [read post]
17 Jan 2012, 2:38 pm
Supreme Court Justices"; "Finra's Legal Immunity Won't Be Questioned by U.S. [read post]
5 Nov 2008, 6:05 pm
As part of its settlement with FINRA, JP Turner will pay $250,000. [read post]
15 Nov 2011, 9:12 am
FINRA would use such documents and information solely for the purpose of determining compliance with FINRA rules or other applicable regulatory purposes. [read post]
17 Mar 2021, 9:51 am
FINRA’s findings also stated that the firm’s system for monitoring commissions failed. [read post]
13 Aug 2022, 8:55 am
I don't think so.Case in PointIn a FINRA Arbitration Statement of Claim filed in April 2022, Claimant IFS alleged that:IFS Securit... [read post]
17 Jul 2017, 3:02 am
Today's installment of "Dyspepsia with Bill" involves a recent FINRA arbitration that sort of looks like a loss for a former JP Morgan Securities employee except he won pu... [read post]
4 Oct 2013, 8:54 am
FINRA Arbitration Rule 13804 permits parties to obtain a TRO in court in conjunction with filing a statement of claim with FINRA. [read post]
4 Jan 2021, 1:50 am
Charles McLean Has Been Registered with FINRA Since 2001 According to Chuck McLean’s FINRA Brokercheck page, he has been registered with FINRA for 19 years and switched employers five times. [read post]
26 May 2021, 12:45 pm
Broker Steven Baaden Has Been Registered with FINRA for 36 Years Baaden has been registered with FINRA since 1984 and switched employers six times according to his Brokercheck page. [read post]
4 Jan 2021, 1:50 am
Charles McLean Has Been Registered with FINRA Since 2001 According to Chuck McLean’s FINRA Brokercheck page, he has been registered with FINRA for 19 years and switched employers five times. [read post]
26 May 2021, 12:45 pm
Broker Steven Baaden Has Been Registered with FINRA for 36 Years Baaden has been registered with FINRA since 1984 and switched employers six times according to his Brokercheck page. [read post]
22 Mar 2022, 12:31 pm
According to FINRA, on April 27, 2018, GPB Capital sent a letter to many broker-dealers that sold GPB Capital-offerings, including Dempsey Lord Smith LLC. [read post]
3 Nov 2021, 8:07 am
FINRA Bars James Seijas after Allegations involving Q3 Trading Club Ponzi Scheme According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred former financial advisor James Seijas (CRD#: 2392901) when he failed to provide information in its investigation after Seijas was “named as a defendant in a lawsuit alleging that he had misrepresented investments as part of a Ponzi scheme. [read post]
18 Aug 2023, 7:20 am
FINRA Award for Unsuitable Options Strategy According to reports this week, a FINRA panel ordered a former advisor to pay $664,901 for an unsuitable options strategy. [read post]
4 Apr 2023, 1:19 pm
Since the firm launched in 2010, it has handled over 700 FINRA arbitration cases. [read post]
14 Dec 2021, 9:00 am
FINRA noted that the early rollovers of UITs caused customers to incur potentially excessive sales charges. [read post]
7 Jan 2020, 2:17 pm
The FINRA claim seeks damages between $50,000 and $100,000. [read post]
12 Aug 2020, 11:10 am
After Bennett reportedly failed to provide requested documents in the investigation, FINRA allegedly barred him from associating with any FINRA member at any time. [read post]
