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21 Apr 2017, 5:02 am
Failure to Provide Information or Keep Information Current This FINRA rule provides if a FINRA member fails to provide information or testimony requested or required by FINRA’s By-Laws or FINRA rules, or fails to keep his or her membership and supporting documents current, FINRA, after providing 21 days’ notice may suspend the FINRA membership of the person. [read post]
12 Aug 2021, 11:08 am
Bones consented to a two-month suspension from associating with any FINRA member in all principal capacities after FINRA alleged that he failed to reasonably supervise a former broker, Christopher Orlando, that excessively traded ten customer accounts. [read post]
30 May 2018, 11:12 am
FINRA currently performs this search for all registered persons—but only annually. [read post]
25 Apr 2019, 7:12 am
” Following is an excerpt: On April 5, 2019, FINRA published Regulatory Notice 19-10 (the “Notice”) addressing the responsibilities of member firms when communicating with customers about departing registered representatives. [read post]
3 Jun 2023, 4:22 pm
The Financial Industry Regulatory Authority (FINRA) recently proposed several rule changes aimed at “provid[ing] greater transparency and consistency” with respect to the arbitrator list selection process administered by FINRA Dispute Resolution Services (DRS). [read post]
11 Jun 2023, 7:52 pm
“FINRA gets credit where credit’s due; they have made meaningful strides in [...] [read post]
12 Apr 2012, 11:18 am
The Financial Industry Regulatory Authority (“Finra”) recently announced the approval of new Finra Rule 3230 by the U.S. [read post]
3 Sep 2009, 12:27 pm
On September 2nd, FINRA announced additional settlements with three firms relating to sales of auction rate securities to customers. [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
30 Jan 2020, 6:16 am
Edward Matthes by FINRA Prior to his bar by the Wisconsin State regulator, Edward Matthes was also barred by the Financial Industry Regulatory Authority (FINRA). [read post]
15 Jun 2009, 11:58 am
Then meet Finra. [read post]
8 Jun 2021, 12:56 pm
Broker Cynthia Komarek BARRED by FINRA – Barrington, Illinois appeared first on Securities Arbitration Lawyer Blog. [read post]
8 Jun 2021, 1:13 pm
Broker Grant Birkley BARRED by FINRA – Barrington, Illinois appeared first on Securities Arbitration Lawyer Blog. [read post]
20 May 2020, 1:57 pm
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 Jul 2016, 9:10 am
Prior to issuing its arbitration award, the majority-public FINRA panel denied the financial adviser’s request to dismiss the action twice. [read post]
12 Nov 2020, 6:40 am
Citigroup Global Markets Inc. is a FINRA member headquartered in New York. [read post]
29 Apr 2015, 12:57 pm
In fact, according to Regulatory Notice 13-30, FINRA found that “customers were awarded damages significantly more often when an all-public panel decided their case. [read post]
9 Sep 2020, 6:06 am
” Accordingly, FINRA issued a permanent bar from associating with any FINRA firm in any capacity. [read post]
3 Mar 2022, 12:18 pm
The Benefits of FINRA Arbitration for Claims Against Emerson Equity and Tony Barouti What are the benefits for L bond investors of individually pursuing FINRA arbitration? [read post]
10 Jan 2020, 12:30 pm
FINRA Proposal on Unpaid Arbitration Awards Not Good EnoughThe Financial Industry Regulatory (FINRA) Administration Proposal will open the window for investors to exit the arbitration process the moment a broker or a brokerage firm leaves business while an arbitration is pending in court. [read post]
