Search for: "Financial Industry Regulatory Authority"
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15 Nov 2010, 1:28 pm
FINRA is offering unpaid externships for graduate students in its Washington, DC office. [read post]
16 Feb 2011, 10:08 am
FINRA is offering an unpaid summer externship in its Washington, DC office. [read post]
25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
3 Feb 2016, 3:22 am
FINRA Statement Of Corrective Action Defamation Lawsuit Slams Brokerage FirmAttendant to entering into an Acceptance, Waiver and Consent ("AWC") regulatory settlement with the Financial Industry Regulatory Authority ("FINRA"), respondents are permitted to attach to the formal AWC settlement agreement a Corrective Action Statement to demonstrate the steps taken by a respondent to prevent future misconduct subject to the… [read post]
2 Sep 2013, 11:57 am
Following the first iteration of this story is an UPDATE reflecting recent regulatory action against the member firm for failing to supervise.In response to the filing of a Complaint on September 8, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”), Respondent David E. [read post]
20 Apr 2015, 3:52 am
Although that doesn't necessarily sound like a riveting story, consider the fact that the federal lawsuit under consideration names as one of the Defendants Wall Street's self-regulatory organization, the Financial Industry Regulatory Authority ("FINRA"). [read post]
15 Aug 2012, 4:03 am
For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (? [read post]
16 Dec 2013, 8:54 am
Today's BrokeAndBroker Blog is about a minor failure to follow the rules but, nonetheless, a shortcoming that resulted in a fine and suspension.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, Jason Goldstein submitted a Letter of Acceptance, Waiver… [read post]
9 Feb 2017, 11:54 am
PERSONAL MESSAGE FROM BrokeAndBroker.com Blog publisher Bill Singer: "Sharemaster Becomes The Beastmaster Of FINRA And SEC" (BrokeAndBroker.com Blog, February 17, 2017) presented the saga of FINRA member firm Sharemaster and its Sole Proprietor Howard Feigenbaum as they battled the ponderous and constipated bureaucracies of both the Securities and Exchange Commission and the Financial Industry Regulatory Authority. [read post]
13 May 2013, 3:07 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in July 2012, public customers Claimants Kelly and Pinsent asserted claims including unsuitability, excessive commissions, and negligence. [read post]
22 Feb 2016, 2:58 am
In a recent Financial Industry Regulatory Authority settlement with a registered representative, we have just such a case. [read post]
17 Jun 2017, 12:17 pm
The Financial Industry Regulatory Authority ("FINRA") and Scottsdale Capital Advisors Corporation have been engaged in what seems like a battle to the death for the past few years -- which is not to make light of the self-regulator's serious allegations or of the tenacious defense by Scottsdale and other named respondents. [read post]
20 Apr 2015, 3:52 am
Although that doesn't necessarily sound like a riveting story, consider the fact that the federal lawsuit under consideration names as one of the Defendants Wall Street's self-regulatory organization, the Financial Industry Regulatory Authority ("FINRA"). [read post]
13 May 2013, 3:55 am
In this case, FINRA finds the winning ticket of conversion, borrowing, and undisclosed settlement -- for the broker, it's the equivalent of getting scratched.A Cascade of Compliance No-No'sFor 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, Timothy R. [read post]
13 Jan 2020, 11:05 am
FINRA Award: National Planning Corp. sued for fraudulent promissory notes According to reports last week, a Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered National Planning Corp. to pay $2.6 million to an elderly St. [read post]
30 Jul 2015, 5:40 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) broker George Lincoln (Lincoln) has been the subject of at least three customer complaints, one regulatory action, and one employment separation. [read post]
24 Apr 2015, 3:33 pm
According to Investment News, the Financial Industry Regulatory Authority (FINRA) has barred Wells Fargo broker and Miami socialite Aaeon Parthemer for failure to disclose his involvement in various outside businesses. [read post]
4 Nov 2021, 1:29 pm
Former New Jersey Financial Advisor Allegedly Targeted Florida Doctors James Alan Seijas, an ex-Wells Fargo Clearing Services broker, was barred by the Financial Industry Regulatory Authority (FINRA) beginning November 2, 2021. [read post]
10 Mar 2021, 8:30 am
Lincoln, Nebraska Stockbroker Named In Multiple Six-Figure Options Overlay Claims A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded two claimants over $1M in their UBS Yield Enhancement Strategy (YES) claim against respondent UBS Financial Services (UBS). [read post]
21 Dec 2021, 12:20 pm
Ex-Texas Financial Advisor Allegedly Killed An Investor While Operating a Ponzi Scam Keith Todd Ashley, who was fired by Parkland Securities in October 2020 and is charged with murder, is now also facing Financial Industry Regulatory Authority (FINRA) charges. [read post]
