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11 Jul 2012, 9:54 pm
Furthermore, it allows certain FINRA arbitration rules to be bypassed. [read post]
7 Jan 2021, 7:43 am
The Financial Industry Regulatory Authority (“FINRA”) has suspended Antonio Almeida from associating with any FINRA member in any capacity for three months. [read post]
7 Dec 2020, 11:03 am
FINRA’s disciplinary action arose from Ms. [read post]
9 Jun 2012, 4:59 pm
• FINRA Entitlement, contact the FINRA Entitlement Group at (240) 386-4185. **** Bart Mallon is a partner with Cole-Frieman Mallon & Hunt LLP, an investment management law firm. [read post]
18 May 2015, 10:16 am
Thus, FINRA has now decided to strengthen the rule’s deterrent effect by making revisions in FINRA’s Sanctions Guidelines. [read post]
29 Jun 2009, 7:15 am
(FINRA Case No. 2007007205801). [read post]
24 May 2017, 9:18 am
However, as FINRA head Robert Cook stated recently, “We are one team, and we all are responsible for FINRA’s success. [read post]
9 Oct 2023, 3:31 pm
When the arbitrators asked FINRA for an explanation or relevant files, FINRA refused. [read post]
30 Dec 2019, 9:43 am
FINRA published an interesting arbitration award on December 27, 2019. [read post]
19 Nov 2021, 6:30 am
FINRA has barred former Cambria Capital, LLC broker Steven Musielski from the securities industry. [read post]
6 Aug 2021, 9:00 am
Friedman was suspended by FINRA on July 2, 2021, over his failure to respond to a FINRA request for information. [read post]
3 Apr 2009, 12:59 pm
The SEC approved amendments to FINRA Rule 12401 of the Customer Code and FINRA Rule 13401 of the Industry Code to raise the amount in controversy for appointing a single chair-qualified arbitrator to $100,000. [read post]
7 Jan 2015, 8:00 am
FINRA brought such a case against one of my clients, and lost after a hearing. [read post]
12 Aug 2021, 5:42 pm
The investigation was launched after FINRA received a tip to FINRA’s Securities Helpline for Seniors. [read post]
15 Nov 2016, 3:32 pm
(FINRA No. 2015048273301). [read post]
8 May 2013, 5:00 am
So the FINRA Regualtory Notice caught my eye. [read post]
14 May 2017, 6:24 am
FINRA Rule 9552. [read post]
11 May 2017, 3:04 am
FINRA Rule 9552. [read post]
4 Sep 2014, 10:46 am
In August 2011, rather than pursuing a claim against CGML, Abbar commenced a FINRA arbitration against CGMI, a FINRA member. [read post]
6 Mar 2013, 7:00 am
In addition, the FINRA panel found that Charles Schwab violated FINRA rules when the company sought to bar FINRA arbitrators from consolidating individual customer claims. [read post]
