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10 Jan 2012, 2:46 pm
Charles Schwab was punished in 2010 with a substantial punitive damage award by a FINRA Panel. [read post]
27 Jan 2016, 1:32 pm
SR-FINRA-2015-032) [electronic format]. [read post]
6 Jun 2011, 7:30 am
To view the FINRA complaint, click click here. [read post]
18 Apr 2022, 9:48 am
FINRA dispute resolution is accomplished through arbitration and mediation. [read post]
6 Aug 2021, 8:40 am
” See FINRA, Notice to Members 21-15 (2021). [read post]
12 Feb 2013, 6:39 am
On January 4, 2013, FINRA published Regulatory Notice 13-02, proposing a new FINRA rule (the “proposed rule”) in connection with the recruitment compensation practices of member firms. [1] Introduction In short, the proposed rule would: Click here to read the complete post... [read post]
19 Jun 2017, 11:35 am
According to the FINRA AWC (Letter of Acceptance, Waiver, and Consent) FINRA found that Vazquez failed to request termination of his suspension within three months of the date of the suspension and was automatically barred from association with any FINRA member in any capacity. [read post]
28 Nov 2017, 6:37 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Alonza Barnett (Barnett), in March 2017, was barred from the industry by FINRA after FINRA requested documents and information and he failed to request termination of his suspension within three months of the date of the Notice of Suspension drawing an automatic bar from association with any FINRA member in all capacities. [read post]
14 Jun 2017, 7:53 am
Claims may be brought in securities arbitration before FINRA. [read post]
Broker Gregory Walter McCloskey, Formerly with WestPark Capital, BARRED by FINRA – Newport Beach, CA
15 Jun 2021, 9:08 am
FINRA has barred former WestPark Capital broker Gregory Walter McCloskey from the securities industry. [read post]
5 Nov 2010, 10:04 am
There are currently no applicable FINRA exams for issuer-agents to take to satisfy the "applicable FINRA" part of the exam requirement but the Missouri Securities Commissioner cautions that this position could change at any time. [read post]
5 Nov 2023, 6:28 pm
In a recent disciplinary action by the Financial Industry Regulatory Authority (FINRA), Richard S. [read post]
4 May 2018, 1:38 pm
FINRA has barred Carlos Nestor Evertsz-Seda (aka Carlos Nextor Evertsz, CRD# 4757897.) [read post]
22 Apr 2021, 10:01 am
FINRA assigned Saljooki an award to the client of $706,793.84 in this case. [read post]
13 Jan 2021, 9:22 am
Fined $350,000 by FINRA Over Variable Annuity Supervisory Violations appeared first on Securities Arbitration Lawyer Blog. [read post]
25 Aug 2020, 2:52 pm
FINRA has fined and suspended a former Edward Jones & Co. broker in Kansas who attempted to settle a customer complaint on his own, according to a settlement letter and Advisor Hub. [read post]
21 May 2020, 7:05 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
FINRA Urges SEC to Create SRO for Investment Advisers Amid Fierce Debate Spurred by Dodd-Frank Study
8 Nov 2010, 5:28 pm
To suggest otherwise is irresponsible, said FINRA, adding that if a FINRA affiliate were to seek authorization as an investment adviser SRO it would establish equally effective examination and enforcement of SEC requirements for investment advisers.More broadly, FINRA said that an investment adviser SRO should be subject to exacting requirements similar to those set forth in Sections 15A and 19 of the Exchange Act for registered securities associations. [read post]
24 Apr 2017, 7:17 am
FINRA Rule 9552. [read post]
14 Aug 2014, 7:00 am
FINRA has sent targeted sweep letters to almost 20 broker-dealers conerning their approaches to managing cybersecurity risks. [read post]
