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FINRA Seeks to Review Private Placement Marketing Communication

The Financial Industry Regulatory Authority has filed a proposed rule change with the Securities and Exchange Commission to require broker-dealers to file retail communications...

FINRA Charges Former BofA Analyst with Spending $21,000 on Corporate Card...

The Financial Industry Regulatory Authority has charged Paramveer Singh, a former Bank of America Securities registered representative and research analyst, with charging nearly $21,000...

FINRA Adopts Rule to Limit Brokers from Being Named Customers’ Beneficiary

The Financial Industry Regulatory Authority has adopted a new rule to limit potential conflicts of interest when brokers are named a customer’s beneficiary, executor...

SEC and FINRA to Host Online Forum on Regulation Best Interest...

The Securities and Exchange Commission has released the agenda and panelists for the October 26, 2020 roundtable where SEC staff and FINRA will discuss...

FINRA Fines and Suspends Former NYLife Broker for Selling Unapproved Securities

The Financial Industry Regulatory Authority has fined and suspended a former NYLife Securities broker for allegedly soliciting two investors to purchase securities in Future...

SEC and FINRA to Hold Roundtable on Regulation Best Interest and...

The Securities and Exchange Commission will hold a roundtable with the Financial Industry Regulatory Authority (FINRA) to discuss initial observations on the implementation of...

FINRA Suspends Former Purshe Kaplan Broker over Reg D Offerings He...

Financial Industry Regulatory Authority has fined and suspended a former Purshe Kaplan Sterling Investments broker for raising $6 million from numerous investors through two...

FINRA to Temporarily Allow OHO and NAC Hearings by Video Conference

The Financial Industry Regulatory Authority Inc. has filed a proposed rule change with the Securities and Exchange Commission to temporarily allow FINRA’s office of...

FINRA Bars Former Guggenheim Broker for Stealing Investment Funds from Relative

The Financial Industry Regulatory Authority has barred former broker Andrew M. Arthur for allegedly converting $275,000 given to him by a relative for a...

FINRA Alerts Member Firms of Fake FINRA Domain Name

The Financial Industry Regulatory Authority has issued an alert to its member firms warning of a new imposter website, www.finnra.org (notice the extra “n”...