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23 Apr 2013, 9:22 am
Investor disputes that exceed $100,000 are decided before panel of three FINRA arbitrators. [read post]
23 Apr 2013, 9:00 am
But such things do not seem to bother FINRA. [read post]
22 Oct 2010, 8:18 am
On October 20, 2010, FINRA issued Regulatory Notice 10-51 regarding sales practice obligations for commodity futures-linked securities. [read post]
15 Feb 2018, 9:36 am
On February 9, 2017, FINRA Enforcement signed off on a Letter of Acceptance, Waiver and Consent (“AWC”) between FINRA and former financial advisor Matthew C. [read post]
17 Nov 2011, 6:00 am
"FINRA's also found that WaMu Investments, Inc., which merged with Chase in July 2009, made similar unsuitable recommendations to customers. [read post]
22 Jun 2012, 11:56 am
Our partner, Josh Horn, was recently quoted on the rise of FINRA enforcment proceedings. [read post]
3 Jun 2011, 6:45 am
The FINRA arbitration panel agreed with RBC and dismissed Beja’s claim as being ineligible for FINRA Arbitration. [read post]
7 Feb 2024, 9:10 am
Advisory Group Equity Services – FINRA Claims According to D. [read post]
3 Feb 2010, 12:27 pm
Following up on the last post, FINRA has announced a webinar on "Compliance Considerations for Social Networking Sites. [read post]
20 Jun 2017, 8:50 am
Claims may be brought in securities arbitration before FINRA. [read post]
31 May 2017, 10:28 am
Kolf was barred permanently from FINRA on September 2016. [read post]
2 May 2013, 12:35 pm
FINRA has a new Executive Vice President, Risk and Strategy. [read post]
15 Aug 2012, 12:28 pm
FINRA also barred the firm's Chief Executive Officer, Craig A. [read post]
25 Mar 2011, 5:14 am
Richard Ketchum, FINRA CEO, spoke on March 22 at the SIFMA Compliance and Legal Division's Annual Seminar and addressed the issue of FINRA's becoming an SRO for investment advisers, a possibility that most investment advisers oppose. [read post]
29 Aug 2011, 11:53 am
In August 2011 FINRA issued Regulatory Notice 11-39, Guidance on Social Networking Websites and Business Communications, to supplement its January 2010 Regulatory Notice 10-06, which provided guidance on the application of FINRA rules governing communications with the public to social... [read post]
14 Dec 2010, 11:47 am
On Oct. 26, FINRA filed a... [read post]
29 Dec 2010, 11:31 am
FINRA found that... [read post]
10 Mar 2010, 1:00 pm
Rick Ketchum, Chairman and CEO, FINRA, spoke at the FINRA Fixed Income Conference on March 9, 2010. [read post]
21 Nov 2019, 10:53 am
FINRA's member firms elect much of its governing board and influence how FINRA will allocate its resources and set priorities.... [read post]
7 May 2009, 10:57 am
To date, FINRA has concluded... [read post]
