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10 Nov 2017, 12:58 pm
FINRA has prioritized VA sales practice misconduct as warranting enhanced regulatory oversight. [read post]
30 Mar 2018, 3:31 pm
” On Wednesday, March 28, FINRA announced a fine of $550,000 against Aegis for its alleged supervisory failures. [read post]
30 Jun 2021, 8:50 am
According to the FINRA press release, the sanctions represent the largest financial penalty ever ordered by FINRA and reflect the scope and seriousness of the violations. [read post]
7 Dec 2021, 11:20 am
Credit Suisse Securities (USA) LLC, FINRA No. 16-02825. [read post]
22 Feb 2018, 8:23 am
The investment lawyers at Gana LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Donald Southwick (Southwick). [read post]
7 Mar 2019, 11:37 am
FINRA Arbitrations Take Several Months to More Than a Year to ResolveAccording to FINRA’s latest statistics, all arbitration proceedings take an average of 14.2 months to close. [read post]
9 Nov 2021, 9:29 am
Marzocco excessively and unsuitable traded a customer’s account, in violation of FINRA Rules 2111 and 2010. [read post]
5 Jan 2021, 11:32 am
Engelmann signed an Acceptance, Waiver & Receipt (AWC) letter, accepting the FINRA sanctions. [read post]
20 May 2019, 11:02 am
FINRA suspended Bennet for 15 days, and fined him $5,000. [read post]
1 Dec 2023, 7:39 am
FINRA subsequently indefinitely barred Rodgers from affiliation with a FINRA member broker-dealer in any capacity. [read post]
6 Sep 2022, 9:07 am
FINRA Censures and Fines Sanctuary Securities Inc. for Unsuitable GPB Funds Sales According to The Financial Industry Regulatory Authority (FINRA) on September 2, 2022, the regulator censured and fined Sanctuary Securities Inc. [read post]
18 Nov 2014, 8:46 am
Meanwhile, proposed Rule 4580 would require covered FINRA members engaging in distribution and solicitation activities with a government entity on behalf of any investment adviser to maintain specified records that could be examined by FINRA for compliance with the obligations of proposed Rules 2390 and 2271. [read post]
21 Mar 2024, 8:17 am
FINRA Rules for Brokers According to FINRA Rule 8210(a)(1), individuals and entities under FINRA’s jurisdiction must provide information concerning any matter relevant to a FINRA investigation or examination. [read post]
17 Jul 2023, 10:00 pm
FINRA Regulations Get the details on registration, conduct rules, marketplace rules, and more. [read post]
11 Feb 2013, 5:21 am
A copy of the FINRA AWC can be accessed here: (FINRA AWC). [read post]
20 Mar 2012, 6:23 am
FINRA found that this range was higher than reasonable based on several factors including market conditions, the cost of execution and the value of services rendered to the customers. [read post]
25 Jun 2012, 2:13 pm
Community Bankers Securities ("CBS") is a Virginia corporation and is also a registered broker-dealer with the SEC and was a member of FINRA from July 1997 to February 2010. [read post]
26 Aug 2012, 7:07 pm
On July 30th, FINRA expelled broker-dealer Biremis Corporation and permanently barred Biremis’s CEO, Peter Beck, from association with any FINRA member firm in any capacity. [read post]
26 Sep 2011, 12:53 am
Full Text of FINRA Rule 5131 The following is the full version of FINRA Rule 5131 effective as of September 26, 2011. [read post]
28 Jan 2017, 6:35 am
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Brian Sak (Sak). [read post]
