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13 Jul 2011, 4:27 am
FINRA recently filed with the SEC a proposed rule change to amend (i) FINRA Rule 9141 (Appearance and Practice; Notice of Appearance) to prohibit a former officer of FINRA, for a period of one year after termination of employment with... [read post]
21 Aug 2018, 5:20 am
According to FINRA Disciplinary actions for July 2018, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Anthony Carpenter UBS Financial Services Inc A.G. [read post]
3 Jan 2019, 5:57 am
The post In December 2018, FINRA Suspends Registered Individuals for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
6 Mar 2018, 8:02 am
According to FINRA Disciplinary actions for February 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Stephen Robert Adams BBVA Securities Inc. [read post]
6 Mar 2018, 8:13 am
According to FINRA Disciplinary actions for February 2018, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Florjan Beqo J.P. [read post]
12 Jan 2018, 8:48 am
According to FINRA Disciplinary actions for December 2017, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Helle Romer Bannister HighTower Advisors, LLC J.P. [read post]
6 Feb 2018, 7:36 am
According to FINRA Disciplinary actions for January 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Jesse Baker Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
4 Jun 2018, 6:26 am
According to FINRA Disciplinary actions for May 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Fernando Enrique Acosta Paul Anthony Bustamante Empire Asset Management Company Bishop, Rosen & Co,… [read post]
6 Aug 2019, 8:52 am
The post Registered Individuals Suspended by FINRA in July 2019 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
18 Dec 2018, 11:03 am
The post FINRA Suspends Registered Individuals in November 2018 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
4 Apr 2018, 7:38 am
According to FINRA Disciplinary actions for March 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Benjamin Glasser Aibel Wunderlich Securities, Inc. [read post]
25 Apr 2019, 11:59 am
The post In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
10 Jan 2018, 4:40 pm
According to FINRA Disciplinary actions for December 2017, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Florjan Beqo J.P. [read post]
1 Jul 2019, 12:46 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Carolyn UBS Financial Services Inc. [read post]
21 Oct 2019, 7:09 am
However, does the jurisdiction of FINRA arbitrator extend to companies or persons that are not FINRA members or employees of FINRA members? [read post]
8 May 2018, 8:55 am
The post Individuals Suspended by FINRA in April 2018 for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
9 Jul 2017, 8:41 am
FINRA Rule 9552. [read post]
3 Jan 2019, 5:48 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]
14 May 2017, 8:36 am
FINRA Rule 9552. [read post]
14 May 2017, 5:49 am
FINRA Rule 9552. [read post]
