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2 Feb 2017, 9:04 am
Then there's that bit of hypocrisy on the part of FINRA that renders the settlement as more than a bit . . . hmmm . . . what's the word that I'm looking for . . . oh, yeah . . . hypocritical.Case In PointFor 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… [read post]
12 Jun 2014, 5:47 am
In recent years, the Financial Industry Regulatory Authority (“FINRA”) has been on a tear about due diligence and the failure to supervise; and, frankly, you can't blame the self-regulatory organization given the recent history of disasters involving both of those issues. [read post]
20 Jul 2015, 3:15 am
Case In Point 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 NFP Advisor Services, LLC (f/k/a NFP Securities, Inc.) submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Apr 2017, 6:32 am
Case In PointFor 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, Christopher William Wingader submitted a Lett... [read post]
1 Dec 2014, 3:46 am
Thereafter, we have the mystical appearance of FINRA in the role of a somewhat forgiving regulatory angel -- some might say in the shape of a Jefferson Starship.Case In PointFor 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, Rick Dean Bianchi… [read post]
22 Oct 2015, 4:39 am
Bill Singer speaks to Martin Kaplan, partner with the law firm of Gusrae Kaplan Nusbaum, on the current "draconian" regulatory environment under the Financial Industry Regulatory Authority. [read post]
7 Mar 2017, 5:53 am
Case In Point 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, William L. [read post]
23 Aug 2019, 2:07 am
A recent FINRA regulatory settlement comes up short on a number of those aspects.Case In PointFor 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, Jedediah Elvin Dahl, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), whic... [read post]
13 May 2013, 3:42 am
In this recent FINRA regulatory matter involving a broker-dealer/bank employee, bank customers were targeted for the purpose of accessing their signature cards.The Top TenFor 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, Henry Nguyen submitted a… [read post]
22 Apr 2013, 4:27 am
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, Earl William Fay submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
22 Feb 2017, 11:15 am
Today's BrokeAndBroker.com Blog considers a recent FINRA regulatory settlement involving the legacy of life settlement sales.Case In PointFor 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, James Calder submitted a Letter of Acceptance, Waiver… [read post]
20 Sep 2017, 6:40 am
Case In PointFor 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, Sharo... [read post]
23 Apr 2016, 4:57 am
You be the judge.Case In PointFor 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, Dakota Securities International, Inc. and Bruce Martin Zipper submitted a Letter of Acceptance, Waiver and Co... [read post]
1 Jun 2015, 5:34 am
What veteran lawyer Bill Singer sees in this case, however, is an important opportunity to highlight the hidden costs of compliance.Case In PointFor 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, Eight Pines Securities LLC submitted a Letter of … [read post]
9 Feb 2019, 6:43 am
Case in PointFor 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, Elizabeth Marie Garcia... [read post]
11 Oct 2016, 5:57 am
Case in PointFor 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, Fortrend Securities, Inc. submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted... [read post]
21 Jun 2016, 8:08 am
Case In PointFor 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 adjudicati... [read post]
30 May 2016, 5:47 am
Case In PointFor 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, James Parker Scullin submitted a Letter of Acceptance, Wai... [read post]
7 May 2013, 5:54 am
In a recent regulatory settlement, one stockbroker found himself backed into just such a regulatory corner.A Winter of DiscontentFor 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, Homer Daniel Winter III submitted a Letter of… [read post]
28 Mar 2022, 7:14 am
Price was chasing the payment from the wirehouse even if his arbitration case before the Financial Industry Regulatory Authority had named UBS advisors Raymond Klahne and William Gilcher as the respondents. [read post]
