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6 May 2018, 6:21 pm
SALI supplements existing SEC-provided investor education resources available on Investor.gov, including a free investment professional search tool, that provides access to information on investment adviser representatives as well as individuals listed in FINRA’s BrokerCheck system. [read post]
4 May 2018, 1:38 pm
FINRA has barred Carlos Nestor Evertsz-Seda (aka Carlos Nextor Evertsz, CRD# 4757897.) [read post]
4 May 2018, 1:28 pm
Continue reading The post FINRA Suspends Broker Lorene Fairbanks For Improper Financial Relationship With Client And Improper Communications With Client appeared first on Securities Arbitration Lawyers Blog. [read post]
4 May 2018, 1:09 pm
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
4 May 2018, 11:17 am
For reasons not explained by FINRA, the OHO Dec... [read post]
4 May 2018, 10:59 am
It's a fairly compelling effort by FINRA but for the fact that the published settlement agreement raises a few questions that aren't answered.Case In PointFor 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 issue, E.J. [read post]
4 May 2018, 8:20 am
FINRA has suspended broker Jeffrey Paul Dragon (CRD# 1874038) for 21 months and sanctioned him $50,000 in relation to a series of customer complaints. [read post]
4 May 2018, 7:20 am
Overview of FINRA The Financial Industry Regulatory Authority (FINRA) regulates the securities industry. [read post]
4 May 2018, 7:19 am
” The claim was filed with FINRA, and the client is requesting $1,550,000 in damages. [read post]
4 May 2018, 5:16 am
Even after you have digested the facts, you may be unsure whether FINRA is right or its me... [read post]
3 May 2018, 2:08 pm
FINRA and the SEC has fined Aegis Capital $1.3 million stemming from multiple reporting violations, including failing to report suspicious trades to the SEC. [read post]
3 May 2018, 1:56 pm
The post FINRA Investigates Jason Eric Zwibel In $2.6m Customer Dispute appeared first on Securities Arbitration Lawyers Blog. [read post]
3 May 2018, 1:49 pm
The first dispute was filed on June 27, 2017, and included activity from June 2004 through October of 2017, and include allegations of “Fraud, Concealment, Unsuitability, Breach of Contract, Negligence, Gross Negligence, Bad Faith and Violations of SEC and FINRA Rules. [read post]
3 May 2018, 12:42 pm
FINRA is dedicated to investor protection and market integrity. [read post]
3 May 2018, 7:24 am
According to his FINRA BrokerCheck report, Knee worked for Ameriprise Financial Services Inc. from August 2012 until November 2015. [read post]
2 May 2018, 5:00 am
FINRA's current rules do not explicitly require that a firm seeking to employ an individual subject to a statutory disqualification place that individual on heightened supervision during the pendency of the firm’s application seeking approval from FINRA. [read post]
1 May 2018, 11:37 am
FINRA also requires that its members refrain from engaging in fraudulent or deceptive practices with their customers. [read post]
1 May 2018, 11:29 am
This guilty plea also led FINRA to bring a regulatory action against Case in January 2018. [read post]
1 May 2018, 11:22 am
As a result, FINRA permanently barred Kitts from being associated with any FINRA member firm. [read post]
1 May 2018, 11:17 am
FINRA permanently barred Graetz from being associated with any FINRA member firm due to this violation. [read post]
