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8 Jan 2019, 4:21 pm
FINRA litigants and arbitrators alike should take note of a federal court’s decision rejecting an unexplained FINRA award when it was unable to discern its basis, notwithstanding that FINRA rules did not require an “explained” decision, and later vacating the explained award once it demonstrated the panel’s manifest disregard of the law. [read post]
30 Jan 2020, 7:57 am
FINRA’s proposed new rule (Rule 3241) would “limit any associated person of a member firm who is registered with FINRA (each a “registered person”) from being named a beneficiary, executor or trustee, or to have a power of attorney or similar position of trust for or on behalf of a customer. [read post]
25 Apr 2017, 10:49 am
FINRA found that Niekras effected the annuity exchanges to benefit himself at the customers’ expense. [read post]
17 Aug 2017, 8:12 am
Ernest Romer has been barred by FINRA; Update August, 2017: Michigan seeks cease and desist, intent to bar. [read post]
25 Oct 2011, 1:13 pm
Journal reports that FINRA has, over a period of nine years, made numerous reports to the SEC about its concerns over hedge fund SAC Capital Advisors' trading activities, detailing in confidential reports that the firm may have... [read post]
8 Feb 2011, 12:34 pm
Rick Ketchum, Chairman and CEO, FINRA, spoke today at the CCOutreach BD National Seminar on product concerns: Private Placements & Private Self Offerings First, we're looking at retail sales of private placement interests, including those issued by broker-dealers and control... [read post]
15 May 2019, 9:12 pm
John's Christine Lazaro captures some of the issues FINRA's new proposal won't solve: In the event of a product failure, or concentrated misconduct, firms simply cannot make investors whole and a restricted fund will not... [read post]
14 Feb 2022, 5:00 am
FINRA intends to make public the findings of the review after its completion.SPACs. [read post]
8 Feb 2018, 6:57 am
In a comment letter regarding FINRA Regulatory Notice 17-42, NASAA President Joseph Borg wrote that FINRA has taken a necessary first step toward short-term solutions that would improve the existing expungement process. [read post]
24 Apr 2012, 11:46 am
Schwab sued FINRA in the U.S. [read post]
19 Mar 2013, 7:39 am
The risks of not having adequate supervisory procedures in place are well evidenced in this enforcement action by FINRA. [read post]
30 Jan 2012, 11:17 am
After nearly a year in operation, Linda Fienberg, head of FINRA's arbitration program, reports... [read post]
4 Jun 2023, 6:00 am
FINRA Expels Long Island Firm & Suspends CEO FTF News Source link The post FINRA Expels Long Island Firm & Suspends CEO – FTF News appeared first on Stoltmann Law. [read post]
3 Feb 2012, 5:54 am
In a blog yesterday, I reported that Charles Schwab has filed a declaratory judgment action against FINRA in federal district court in Northern California in response to FINRA's institution of a disciplinary action against the firm. [read post]
8 Jun 2023, 6:30 pm
Investment Firm Files Finra Arbitration Demand Against Morgan ... [read post]
10 Jun 2012, 7:44 am
On June 7, 2012, the SEC approved FINRA's proposed rule change to adopt FINRA Rule 5123 setting forth a broker-dealer's obligations in connection with private placements of securities issued by non-members (Download 34-67157[1]). [read post]
22 Apr 2010, 11:31 am
To date, FINRA has concluded ARS-related... [read post]
9 Jan 2018, 7:52 am
Ballard after FINRA indefinitely suspended him following his failure to respond to a FINRA request for information. [read post]
26 Aug 2016, 3:27 pm
Interesting article at RIABiz regarding the retirement of Rick Ketchum, the fact that there are two outsiders replacing him, and the problems FINRA faces going forward.What FINRA's CEO shuffle reveals about its waning viability as the self-funded fox guarding the investor henhouse | RIABiz: [read post]
8 Apr 2010, 1:46 pm
FINRA filed a complaint against Morgan Keegan & Company, Inc., charging the firm with... [read post]
