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15 Jul 2022, 11:30 am
(To learn more about FINRA see FINRA BrokerCheck – Easy way to Check your Broker). [read post]
15 Jul 2022, 10:05 am
The firm provides a full suite of legal services including: formation of hedge funds, private equity funds, and venture capital funds; adviser compliance and registration; counterparty documentation; equity financings and token offerings; SEC, CFTC, NFA and FINRA matters; seed deals; hedge fund due diligence; employment and compensation matters; and, routine business matters. [read post]
15 Jul 2022, 6:05 am
The firm provides a full suite of legal services including: formation of hedge funds, private equity funds, and venture capital funds; adviser compliance and registration; counterparty documentation; equity financings and token offerings; SEC, CFTC, NFA and FINRA matters; seed deals; hedge fund due diligence; employment and compensation matters; and, routine business matters. [read post]
14 Jul 2022, 10:37 am
FINRA recently filed a proposed rule change with the SEC to "to release information on BrokerCheck® as to whether a particular member firm or former member firm is currently designated as a 'Restricted Firm.'" A restricted firm is one that... [read post]
14 Jul 2022, 8:58 am
In addition, FINRA accused Dempsey Lord Smith of making unsuitable recommendations of GPB Capital securities to four investors. [read post]
14 Jul 2022, 8:28 am
On March 21, 2022, FINRA sent a letter to Shawn Good requesting his appearance for on-the-record testimony in accordance with FINRA Rule 8210. [read post]
14 Jul 2022, 7:39 am
Following his failure to appear, FINRA indefinitely barred Philip Riposo from association with any FINRA member in any capacity. [read post]
13 Jul 2022, 9:23 am
Two FINRA Arbitration Panels Order Firm To Pay UBS YES Customers for Their Losses In separate UBS Yield Enhancement Strategy (UBS YES) investor cases, two Financial Industry Regulatory Authority (FINRA) arbitration panels have awarded UBS Financial Services customers $1.18M and $1.4M, respectively. [read post]
13 Jul 2022, 3:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
13 Jul 2022, 3:55 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
12 Jul 2022, 11:22 am
(CRD#:18456), DACULA, GAHollifield’s broker report further indicates that the Financial Industry Regulatory Authority (FINRA) barred him from the securities industry in October 2021 after his former member firm, LPL Financial discharged him. [read post]
12 Jul 2022, 9:56 am
See: UBS Hit with $1.9 Million in another UBS YES FINRA Suit Advisory firms are obligated to “implement appropriate policies and procedures” to ensure all parties have a clear understanding of the risks of complex products, according to the Chief of the Division of Enforcement’s Complex Financial Instruments Unit. [read post]
11 Jul 2022, 11:29 am
FINRA Bars William “Ed” Torriente, Comerica Securities, after Allegations of Unauthorized Trading According to a Letter of Acceptance Waiver and Consent on July 6, the Financial Industry Regulatory Authority (FINRA) has reportedly barred William “Ed” Torriente (CRD#: 4255814) after he refused to appear for and provide on-the-record testimony requested by FINRA in connection with its investigation into the allegations contained in a… [read post]
11 Jul 2022, 10:52 am
FINRA Bars David Karandos, Dinosaur Financial, after Allegations of Unsuitable Investments According to a Letter of Acceptance Waiver and Consent on July 7 , the Financial Industry Regulatory Authority (FINRA) has reportedly barred David Michael Karandos (CRD#: 1934119) after he consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA. [read post]
11 Jul 2022, 8:56 am
FINRA Censures and Fines McDonald Partners LLC in connection with Private Placement Investments According to The Financial Industry Regulatory Authority (FINRA) on June 22, the regulator censured and fined McDonald Partners LLC $100,000 and ordered it to pay restitution of $170,000 plus interest for alleged rules violations in connection with the sales of private placement investments. [read post]
11 Jul 2022, 8:46 am
No matter who is offering it, due diligence is vital before spending anything, like using FINRA’s BrokerCheck to look at a broker’s background. [read post]
11 Jul 2022, 8:22 am
” Continue reading › The post FINRA HEARING PANEL REJECTS “NO HARM, NO FOUL” DEFENSE appeared first on FINRA Lawyer Blog. [read post]
11 Jul 2022, 3:51 am
Fair Credit Reporting Act (FCRA) and Regulation S-P by "Regulated or Aggrieved"The authors of this article happened to recently evaluate and review the implications of the Fair Credit Reporting Act and Regulation S-P and determined that much of the data contained in the databases of Equifax, Experian and TransUnion and those collected from Customers under Regulation S-P are similar to the data collected by the Central Registration Depository (CRD) that is maintained by the Financial… [read post]
11 Jul 2022, 3:51 am
Spurrier Capital Partners LLC, Respondent (FINRA Arbitration Award)Durham, N.C. [read post]
11 Jul 2022, 3:51 am
Did FINRA have to approve all three purported transactions or only two or one? [read post]
