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17 Jan 2019, 7:28 am
On October 30, 2018, FINRA barred Flores indefinitely and in all capacities from any association with a FINRA member. [read post]
22 Aug 2023, 6:27 pm
The FINRA Arbitration Attorney team at SSEK are helping these investors. [read post]
13 Dec 2017, 1:47 pm
According to FINRA, it was conducting an inquiry into whether Ms. [read post]
12 Jul 2012, 11:05 am
Furthermore, FINRA appreciates that no two firms are exactly alike. [read post]
14 Apr 2008, 9:27 am
In Regulatory Notice 08-17, FINRA announced a minor change to its Rule 3070 reporting requirements. [read post]
19 Mar 2020, 5:06 am
Continue Reading › The post Experts Say: Expect More FINRA Arbitration Cases Following Coronavirus and Market Volatility appeared first on Investor Lawyers Blog. [read post]
1 Dec 2011, 5:03 am
The district court the motion ruling that the FINRA Code of Arbitration Procedure for Customer Disputes (“FINRA Code”) provides for arbitration of disputes between a FINRA member and its “customer[s],” and that, as WCM was a FINRA member and negotiated part of the CDS agreement entered into by VCG and Wachovia Bank, VCG should be considered a customer of WCM within the meaning of the FINRA Code. [read post]
9 Sep 2013, 4:18 am
In addition, FINRA’s areas of focus have also changed. [read post]
27 Feb 2018, 9:07 am
ETPs have previously come under scrutiny by FINRA. [read post]
4 Apr 2022, 8:33 am
FINRA then issued three sanctions against Anthony Graziano: A fine of $5,000 A suspension of three months from association with any FINRA member in all principal capacities A requirement for Graziano to complete 20 hours of continuing education regarding supervisory responsibilities by a FINRA accepted provider. [read post]
17 Mar 2019, 12:53 pm
FINRA Investor Education Foundation: – “A significant part of financial capability is the ability to make ends meet through adequate savings. [read post]
25 May 2012, 10:23 am
See FINRA Notice 12-21 (PDF). [read post]
3 Nov 2017, 8:29 am
Currently, FINRA permits parties to be represented by non-attorneys (NAR) (subject to a few restrictions such … Continue reading FINRA Seeks Comment on Non-Attorney Representation in FINRA Arbitration → [read post]
10 Nov 2017, 6:00 am
The full text of each proposed amendment is available on FINRA’s website. [read post]
30 Jun 2017, 7:06 am
FINRA Rule 9552. [read post]
18 Aug 2021, 12:21 pm
FINRA encourages comments on the paper, which should be sent by October 16 using FINRA’s online comment form, email, or regular mail. [read post]
26 Apr 2022, 6:12 am
The White Law Group announces the filing of another FINRA Lawsuit involving GWG L Bonds The White Law Group announces the filing of a FINRA Arbitration claim against G. [read post]
4 Sep 2021, 7:06 am
FINRA has barred former Raymond James Financial Services, Inc. broker Jeffrey Travis Drost from the securities industry, after he refused to provide information and documents requested by FINRA. [read post]
Former Financial Advisor Eric Vici BARRED from the Securities Industry by FINRA – Melbourne, Florida
17 May 2021, 11:35 am
Vici was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation that originated from a complaint made to FINRA by the executor of a customer’s estate about his handling of the customer’s funds. [read post]
5 Feb 2021, 11:33 am
FINRA expelled Mr. [read post]
