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22 May 2023, 4:15 am
FINRA Pulls Its Punches In Felony Non-Disclosure Settlement (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
22 May 2023, 4:15 am
Questioning if Alleged Harm Was Irreparable, Federal Court Denies TRO (BrokeAndBroker.com Blog) FINRA Pulls Its Punches In Felony Non-Disclosure Settlement (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
22 May 2023, 4:15 am
Light Bulbs, Coffee Cakes, and FINRA's Regulation of Stockbrokers Designated As Estate Beneficiaries (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/7046/finra-estate-beneficiary/ A Wells Fargo customer wanted to name her stockbroker as a Beneficiary of her accounts. [read post]
22 May 2023, 4:15 am
Questioning if Alleged Harm Was Irreparable, Federal Court Denies TRO (BrokeAndBroker.com Blog) FINRA Pulls Its Punches In Felony Non-Disclosure Settlement (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
19 May 2023, 2:25 pm
On May 18, 2023, during an “Ask FINRA Senior Staff” panel held as part of FINRA’s 2023 Annual Conference, Christopher Kelly, Acting Head of FINRA Enforcement, provided a first look into how FINRA Enforcement intends to address CAT reporting violations as the industry nears the three-year anniversary of the first Phase of CAT go-live and ahead of any published enforcement activity to date. [read post]
19 May 2023, 2:19 pm
During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to use the data going forward to both develop more sophisticated surveillance reviews and further promote industry-wide efficiencies. [read post]
19 May 2023, 2:16 pm
On May 17, 2023, as part of FINRA’s 2023 Annual Conference, staff from FINRA’s Market Regulation and Member Supervision Departments, along with representatives from FINRA CAT, participated in a panel entitled “Consolidated Audit Trail (CAT): What You Need to Know. [read post]
19 May 2023, 12:50 pm
FINRA is the self-regulator that oversees brokers and brokerage firms. [read post]
18 May 2023, 11:11 am
Hershberg has been subject to regulatory action by FINRA and termination by Morgan Stanley. [read post]
18 May 2023, 11:10 am
Claims may be brought in securities arbitration before FINRA. [read post]
18 May 2023, 9:38 am
FINRA’s Supervision Rule FINRA’s supervision rule (FINRA Rule 3110) focuses on the regulatory oversight and monitoring conducted by the Financial Industry Regulatory Authority (FINRA) over its member firms and registered representatives in the securities industry. [read post]
17 May 2023, 5:25 pm
Without a robust supervisory system, Lighthouse Capital Group also could not comply with FINRA suitability requirements that protect investors, as well as properly supervise new sales of private offerings. [read post]
17 May 2023, 12:59 pm
SEC investigations and FINRA arbitration proceedings are completely separate. [read post]
17 May 2023, 12:30 pm
If your broker has defrauded you, you may be able to file a FINRA claim against your brokerage firm. [read post]
17 May 2023, 11:30 am
FINRA is the self-regulator that oversees brokers and brokerage firms. [read post]
17 May 2023, 8:23 am
The post Finra Expels N.Y. [read post]
16 May 2023, 9:18 am
FINRA Rule 3110 Supervision The Financial Industry Regulatory Authority (FINRA) has several rules in place to regulate broker-dealers, including the FINRA Rule 3110 Supervision rule. [read post]
15 May 2023, 6:31 pm
As Broker-Dealer Is Ordered to Pay $3.2M, Investors Struggle To Recoup Their Money Our broker dealer negligence lawyers are speaking to former customers of ex-financial advisor Joseph Crespi to determine whether they have grounds for a FINRA lawsuit against Stifel Nicolaus, which is where he was a registered representative from 2018 to 2022. [read post]
15 May 2023, 8:24 am
Anderson recommended that an elderly customer purchase $1 million worth of mutual funds across 31 fund families without considering that the customer could have qualified for volume-based “breakpoint” discounts if he had invested in fewer, according to Finra. [read post]
15 May 2023, 3:55 am
FINRA Fines and Suspends Rep For Borrowing from Friend During Covid Pandemic (BrokeAndBroker.com Blog) JP Morgan Caught In The Middle of Dueling Address Changes in Customers' Divorce (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
