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15 Dec 2020, 2:23 pm
Lafferty have been sanctioned by FINRA. [read post]
8 Jun 2021, 1:45 pm
” FINRA also fined Mr. [read post]
30 Jan 2023, 8:11 am
Following a customer complaint, FINRA began reviewing Schreiber’s business practices. [read post]
29 Sep 2023, 12:03 pm
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market…Read the Full Press Release Have a securities law question? [read post]
12 Feb 2009, 1:40 pm
FINRA announced today that it has fined two Wachovia units more than $4.5 million for violations related to the sales of mutual funds and Unit Investment Trusts (UIT). [read post]
1 Jul 2024, 7:05 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for both in-person and virtual attendance of their Compliance Outreach…Read the Full Press Release Have a securities law question? [read post]
10 Mar 2009, 2:48 pm
FINRA announced that it has fined First New York Securities L.L.C. $170,000 for improperly covering short positions with secondary offering shares and related oversight failures. [read post]
18 Sep 2013, 11:26 am
FINRA (Financial Industry Regulatory Authority, Inc.), the largest independent regulator for all securities firms doing business in the United States, has published guidance for broker-dealers in performing due diligence on EB-5 securities offerings or "private placements." [read post]
23 Apr 2018, 4:37 am
The plaintiff had had testified before FINRA about alleged misconduct by a UBS colleague. [read post]
10 Apr 2019, 8:36 am
Last week, the securities industry watchdog FINRA issued a new Investor Alert concerning “Social Sentiment” tools and investing. [read post]
5 Oct 2011, 6:34 am
High fees and a lack of liquidity are just two reasons that non-traded REITs are in the hot seat with the Financial Industry Regulatory Authority (FINRA). [read post]
24 Apr 2015, 4:07 pm
FINRA alleged that: 1) H. [read post]
29 Sep 2015, 2:02 pm
Furthermore, FINRA cancelled Global Arena’s FINRA membership in July 2015. [read post]
8 Dec 2021, 8:02 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
27 Jan 2012, 6:35 am
The Financial Industry Regulatory Authority ("FINRA") issued an alert to investors warning them that a compromised email account can not only lead to identify theft, but also to the theft of their money. [read post]
26 Jan 2010, 9:54 am
Yesterday, FINRA issued guidance to firms regarding supervisory obligation relating to social media sites. [read post]
20 Dec 2010, 9:00 am
This month, the FINRA Investor Education Foundation launched a website that releases the results of a study of the financial capability of investors on a state-by-state basis. [read post]
5 Aug 2011, 1:55 pm
FINRA found that Leon did not properly notify his member firm that he was engaged in the sale of a private placement. [read post]
25 May 2012, 8:42 am
In the Matter of the FINRA Arbitration Between Nicole Alise Cannava, Claimant, v. [read post]
19 Nov 2012, 10:04 am
Cleveland-Area SMH Branch Office and Personnel Sanctioned by FINRA [read post]
