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10 Jan 2013, 12:40 pm
FINRA explains that:... [read post]
23 Mar 2009, 12:24 pm
FINRA announced that it fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA's (then NASD's) firm self-assessment of mutual fund breakpoint discount compliance. [read post]
5 May 2009, 11:43 am
FINRA announced today that it barred broker William Joseph Boyle from the securities industry for wrongfully converting and using funds from customer accounts and for failing to cooperate with FINRA investigators. [read post]
21 May 2012, 11:59 am
Ketchum, FINRA's Chairman and Chief Executive Officer, emphasized identifying conflicts of interest and placing the customer's interest before the firm's in his speech before the FINRA Annual Conference on May 21: First, I call on you to do... [read post]
19 Mar 2013, 9:51 am
Jill Gross and I critique the FINRA hearing panel's recent decision in a disciplinary proceeding against Charles Schwab, holding that FINRA's arbitration rule prohibiting class action waivers was unenforceable, at the CLS Blue Sky Blog. [read post]
28 Feb 2011, 3:01 pm
Sutherland Asbill & Brennan LLP announced that it completed its annual Sutherland FINRA Sanction Study – a review of the disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) against broker-dealers and associated persons. [read post]
8 Dec 2010, 12:50 pm
The FINRA Investor Education Foundation (FINRA Foundation) today launched an interactive Web resource to display the results of America's first State-by-State Financial Capability Survey, which was also released today. [read post]
29 Sep 2011, 8:17 am
FINRA also fined RJA... [read post]
1 Apr 2010, 12:53 pm
FINRA determined that Scottrade allowed certain margin account customers who executed a high... [read post]
15 Dec 2020, 10:01 am
FINRA fined a small independent broker-dealer in California $35,000 for failing to adequately conduct background investigations on registered reps and for failing to obtain regulatory pre-approval for a seven-month growth spurt, according to Advisor Hub. [read post]
17 Sep 2008, 2:02 pm
All broker-dealers receive routine examinations based on FINRA's exam schedule. [read post]
2 Jun 2015, 4:21 am
In FINRA Notice to Members 15-16, FINRA has solicited comments to its proposal that would make communications with the public a bit easier. [read post]
26 Dec 2019, 3:37 pm
Only 7% have tried FINRA’s BrokerCheck and only 9% have tried Investor.gov, according to the report. [read post]
26 Jul 2021, 8:00 am
LaBelle violated FINRA Rules 8210 and 2010. [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP… [read post]
3 Nov 2011, 11:43 am
Without admitting or denying the findings, FINRA consented to the SEC's Order and agreed to engage an independent consultant within 30 days to conduct a comprehensive review of FINRA's policies, procedures and training. [read post]
29 Apr 2019, 8:34 am
The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm. [read post]
11 Feb 2008, 1:37 am
SEC Chairman Christopher Cox, FINRA Chief Executive Officer Mary Schapiro and NASAA Present Karen Tyler signed onto an initiative to protect senior investors from fraud. [read post]
14 Mar 2013, 11:10 am
For one, it is important to look at the areas of particular focus for FINRA. [read post]
3 Aug 2020, 12:27 pm
FINRA indefinitely barred Chu from association with any FINRA member in all capacities for failing to respond to a request for information. [read post]
