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25 Dec 2017, 9:40 pm
The Regulatory Review is pleased to highlight our top fifty regulatory essays of 2017 authored by outside contributors. [read post]
16 Oct 2022, 10:17 am
Nearly two years ago, 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, Terry Tzagarakis submitted a Letter of Acceptance, Waiver and Consent ("AWC"), which FINRA accepted. [read post]
15 Jun 2015, 10:58 am
Word of warning for the clueless among you: This is NOT a how-to article and not intended as a DIY.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 wit... [read post]
21 May 2013, 10:31 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, Gary Mitchell Spitz submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
19 Jun 2015, 2:48 am
If there is a hallmark of the Financial Industry Regulatory Authority's ("FINRA's") approach to Wall Street regulation, it is likely found in the self-regulatory organization's FINRA Rule 2010: Standards of Commercial Honor and Principles of Trade:A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.It's a lovely sentiment, no? [read post]
8 Aug 2013, 7:26 am
All of which sets off a cavalcade of compliance disaster.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, DeCarla Mathis submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
26 Dec 2017, 3:26 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2017, Claimant Sabota sought an expungement from his Central Registration Depository record (“CRD”) of three customer complaints involving the:transfer of an account between brokerage firms, selection of sub-accounts in a variable annuity, and selling away involving an employee under Claimant’s… [read post]
3 Apr 2023, 4:20 am
2023 FINRA AWC 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 adjudi... [read post]
5 Sep 2014, 9:12 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, Michael S. [read post]
11 Feb 2015, 5:55 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), wi... [read post]
23 Sep 2013, 4:15 am
After allegedly submitting improper reimbursement requests for golf fees and groceries, a manager was hit with a costly number of penalty strokes.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, Francis R. [read post]
29 Apr 2013, 6:33 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, Akber Syed submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Jan 2014, 5:24 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, John Lucas submitted ... [read post]
12 Jun 2013, 3:19 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, Jon Eric Guay submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
27 Jun 2013, 9:06 am
Over the years, "BrokeAndBroker" readers have asked me to explain the nuances involved in entering into Acceptance, Waiver, and Consent settlements ("AWC") with the Financial Industry Regulatory Authority ("FINRA"). [read post]
22 Jan 2014, 2:38 am
And, just as usual, FINRA comes down on the lowly sales assistant when things go awry.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, Magnolia Gaerlan submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
13 Feb 2015, 6:42 am
As a result of alleged misconduct by Santos-Buch in 1994, the National Association of Securities Dealers, Inc. (“NASD”) (a self-regulatory organization ("SRO") and predecessor in interest to the Financial Industry Regulatory Authority, Inc. (“FINRA”)), institute... [read post]
11 Oct 2013, 3:37 am
As reported by BrokeAndBroker, the consequences of late or non-disclosure of liens and judgments can be serious -- if not devastating to a career on Wall Street.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, Irfan Ahmad Nagi submitted a Letter of… [read post]
22 Nov 2017, 8:14 am
Today's BrokeAndBroker.com Blog considers a recent regulatory settlement imposed upon a former stockbroker by the Financial Industry Regulatory Authority. [read post]
19 Mar 2013, 9:39 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, Mark David Hurwitz submitted a Letter of Acceptance, Waiver and Consent (“AWC”), which FINRA accepted. [read post]
