Search for: "Financial Industry Regulatory Authority"
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2 Mar 2015, 8:21 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Terry Joe Bagw... [read post]
26 Dec 2014, 7:22 am
It's another new year and time to re-visit the nuances involved in entering into an Acceptance, Waiver, and Consent settlement ("AWC") with the Financial Industry Regulatory Authority ("FINRA"). [read post]
5 Mar 2015, 4:51 am
Todays’ BrokeAndBroker.com Blog is less about the facts in an underlying Financial Industry Regulatory Authority ("FINRA") regulatory case and more an examination of the mechanism by which the self-regulatory organization's ("SRO's") Bar is “stayed” pending an appeal to the ;Securities and Exchange Commission ("SEC"). [read post]
16 Jul 2021, 7:08 am
An excellent read for industry professionals.Case in PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Luis Fernando Restrepo submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
18 Nov 2016, 7:39 am
The Financial Industry Regulatory Authority's ("FINRA's") Acceptance, Waiver, and Consent ("AWC") appears to be the most common outcome for that self-regulatory organization's ("SRO's") investigations; however, the mechanics and consequences of the AWC settlement are rarely understood by many registered representatives acting as their own counsel, and often not properly explained by lawyers to their… [read post]
1 Aug 2013, 3:00 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Ivy J. [read post]
25 Mar 2021, 4:03 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Chad T. [read post]
9 Dec 2023, 9:03 pm
How would you evaluate the effectiveness of this strategy of influence over regulatory authorities? [read post]
27 Jun 2012, 10:59 am
The Financial Industry Regulatory Authority ("FINRA") issued Regulatory Notice 12-30 announcing that the Securities and Exchange Commission ("SEC") has approved identical amendments to Rules 12401 and 12800 of the FINRA Code of Arbitration Procedure for Customer Disputes, and Rules 13401 and 13800 of the FINRA Code of Arbitration Procedure for Industry Disputes (collectively "Simplified Arbitration Rules"). [read post]
6 Apr 2009, 9:15 am
The Financial Industry Regulatory Authority ("FINRA") is facing an explosion of arbitration claims in the wake of recent financial frauds, reported Marcia Coyle in the March 30, 2009 edition of Law.com. [read post]
6 Nov 2017, 7:33 am
According to the Financial Industry Regulatory Authority (FINRA), Lisa J. [read post]
11 Dec 2017, 10:59 am
Jackson According tothe Financial Industry Regulatory Authority, on September 27, 2017, Peyton N. [read post]
18 Nov 2016, 3:03 am
In September 2013, as a consequence of regulatory proceedings the Financial Conduct Authority (FCA) gave a Final Notice to JPMorgan Chase Bank, N.A. [read post]
11 Oct 2021, 11:58 am
Former Wisconsin Financial Advisor is Accused of Defrauding at Least 100 Advisory Clients Michael Francis Shillin, who was barred by the Financial Industry Regulatory Authority (FINRA) and Wisconsin’s Officer of the Commissioner of Insurance (OCI) in January 2021, is now facing Securities and Exchange Commission (SEC) charges. [read post]
7 Sep 2016, 11:48 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
11 Jan 2022, 7:40 am
Two Merrill Lynch Brokers Stole More Than $6M from 13 Clients In December 2021, the Financial Industry Regulatory Authority (FINRA) fined Merrill Lynch in two separate matters. [read post]
12 Sep 2018, 5:04 am
This is why the Financial Industry Regulatory Authority (FINRA) created its BrokerCheck reports. [read post]
7 Sep 2016, 11:48 am
According to his BrokerCheck report maintained by the Financial Industry Regulatory Authority (“FINRA”), Mr. [read post]
20 Aug 2020, 7:45 am
Legal Recourse for Denver, Colorado Investors Who’ve Suffered Contract Violations If you are an investor whose broker or brokerage firm breached your agreement, causing you financial losses, you may have grounds for filing a Financial Industry Regulatory Authority (FINRA) arbitration claim for damages. [read post]
17 Mar 2017, 6:56 am
Aegis Capital Corp., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the Securities and Exchange Commission and the Treasury Department’s Financial Crimes Enforcement Network, (FINCEN). [read post]
