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3 Dec 2010, 5:33 am
Even when Next Financial did detect such trades, it took no action, according to FINRA. [read post]
1 Jul 2012, 8:20 am
FINRA believes that the additional trading activity that would now be covered by the broader prohibition would already violate other FINRA rules. [read post]
1 Jul 2012, 8:20 am
FINRA believes that the additional trading activity that would now be covered by the broader prohibition would already violate other FINRA rules. [read post]
27 Apr 2009, 2:33 pm
FINRA is proposing a major expansion of its BrokerCheck service â€â [read post]
16 May 2019, 1:55 pm
The post FINRA Bars Omar K. [read post]
28 Dec 2009, 8:00 am
The SEC noticed a proposed rule change (SR-FINRA-2009-073) submitted by FINRA related to the hearing location rules of the Codes of Arbitration Procedure for customer and industry disputes. [read post]
14 Apr 2011, 12:14 pm
FINRA also ordered Jefferies to repay $425,000 in fees and... [read post]
19 May 2011, 1:59 pm
The SEC approved, on an accelerated basis, a FINRA proposed rule change to amend FINRA Rule 5131 (New Issue Allocations and Distributions) to simplify the spinning provision in that Rule and to delay the implementation date of paragraphs (b) and... [read post]
4 May 2010, 11:57 am
NYSE Euronext (NYSE: NYX) and the Financial Industry Regulatory Authority (FINRA) today announced that they have agreed that FINRA will assume responsibility for performing the market surveillance and enforcement functions currently conducted by NYSE Regulation. [read post]
20 Sep 2010, 12:30 pm
SR-FINRA-2010-036 [read post]
17 Feb 2010, 1:37 pm
The proposed expansion – which FINRA will submit to the SEC in the... [read post]
15 Aug 2010, 1:20 pm
The SEC, FINRA and NASAA first... [read post]
19 Mar 2011, 11:08 am
According to the Executive Summary: FINRA seeks comment on a concept proposal to apply objectivity safeguards and disclosure... [read post]
28 Feb 2011, 2:43 pm
Schwab previously reported that in November 2009 FINRA issued a Wells notice in connection... [read post]
28 Oct 2010, 5:33 am
As conceived by FINRA staff, a possible new rule proposal would require a firm, at... [read post]
6 Feb 2019, 12:48 pm
Seven of Offen’s previous employers have been expelled from FINRA: Obsidian Financial Group, LLC (CRD#:104255), Woodbury, NY, expelled on 10/16/2013 Continue reading The post FINRA Suspends Jeffrey Offen appeared first on Securities Arbitration Lawyers Blog. [read post]
20 Jun 2013, 8:58 am
We can expect signifcant fines by FINRA for social media violations. [read post]
12 Mar 2012, 6:35 am
Two recent cases – one a FINRA arbitration award, the other a Fourth Circuit affirmance of a FINRA arbitration award – tell us the process might not end up as well as you hope. [read post]
6 Feb 2019, 1:07 pm
FINRA then barred Yassin indefinitely from affiliation with any FINRA member effective 11/26/2018. [read post]
24 Sep 2018, 7:24 am
(FINRA Case #2016051493702) Harold Lee Connell (CRD #1482623, Pinecrest, Florida) – An AWC (Accept, Waiver, and Consent) was issued in which Connell was barred from association with any FINRA member in all capacities. [read post]
