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24 Sep 2018, 11:06 am
FINRA Form U5, called the “Uniform Termination Notice for Securities Industry Regulation” is submitted to FINRA when a registered representative is terminated from a firm. [read post]
6 Sep 2014, 3:56 pm
If more FINRA claims reached arbitration, then the average FINRA claim would take substantially longer to adjudicate. [read post]
27 Apr 2018, 1:54 pm
(CRD# 1660422) has been permanently barred by FINRA after a disciplinary action that was signed and completed on 1/22/2018. [read post]
16 Aug 2021, 10:55 am
Continue reading The post GPB Capital Investor Recovers Full Investment Through FINRA Arbitration Award appeared first on Securities Arbitration Lawyer Blog. [read post]
11 Aug 2021, 1:56 pm
FINRA has suspended Oppenheimer & Co. [read post]
8 Aug 2018, 12:07 pm
Former broker Sean Aaron Brady (CRD #4365173) has been barred by FINRA after multiple customer complaints and he was discharged by his employer. [read post]
31 May 2017, 5:23 am
(FINRA Case #2011026346206) Jaoshiang Luo (CRD #2143876, Flushing, New York) was barred from association with any FINRA member in any capacity and ordered to pay $109,769.88, plus prejudgment interest, in restitution to customers. [read post]
27 Apr 2018, 2:08 pm
FINRA has barred Michael Alan Siegel (CRD# 1950871) from “acting as a broker or otherwise associating with a broker-dealer firm. [read post]
25 Oct 2022, 7:59 pm
Continue Reading › The post Do You Need a FINRA Lawyer to Recover Investment Losses appeared first on Investor Lawyers Blog. [read post]
23 Apr 2021, 4:31 pm
Iorio Altamirano LLP is investigating claims on behalf of Independent Financial Group, LLC customers after the firm was censured and fined $200,000 by FINRA. [read post]
28 Mar 2011, 6:00 am
Technorati Tags: arbitration, FINRA, News, securities arbitration [read post]
25 Jan 2012, 12:23 pm
The AWC was accepted by FINRA on Jan. 25. [read post]
18 Apr 2016, 12:29 pm
For the full FINRA findings, see FINRA Case #2013036281301. [read post]
31 Jul 2022, 9:01 pm
Thus, required FINRA membership for many of these currently-exempt firms would help enhance robust and consistent oversight. [read post]
7 Jun 2016, 11:00 am
Wall Street Journal, IRS Says Fines Paid to Finra Aren’t Tax-Deductible: The Internal Revenue Service has ruled that fines and penalties paid to the securities industry’s self-regulatory organization shouldn’t be considered tax-deductible, a stance that could cost financial firms that settle matters with the regulator. [read post]
7 Nov 2016, 9:56 am
FINRA has filed a proposed rule change to provide that an attorney arbitrator would be eligible for the chairperson roster if he or she completes chairperson training and serves as an arbitrator through award on at least one arbitration, instead of two arbitrations, administered by a self-regulatory organization ("SRO") in which hearings were held.Proposed Rule Change: Broadening Chairperson Eligibility in Arbitration [read post]
1 Mar 2020, 5:22 am
FINRA Broker Disciplinary Action Report: February 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
7 Jan 2015, 9:34 am
FINRA states: A central failing FINRA has observed is firms not putting customers’ interests first. [read post]
3 Sep 2021, 10:36 am
FINRA’s Three “Rs” for Avoiding (or Uncovering) Excessive Trading FINRA’s Investor Insight also provides tips for investors to avoid (or uncover) excessive trading. [read post]
26 Sep 2011, 9:01 am
Second Circuit expands FINRA’s arbitration jurisdiction [read post]
