Pursuant to FINRA Rule 6730(a)(6), if a firm enters into a transaction in a TRACE-Eligible Security and determines that the TRACE-Eligible Security is …
[…] […]
Pursuant to FINRA Rule 6730(a)(6), if a firm enters into a transaction in a TRACE-Eligible Security and determines that the TRACE-Eligible Security is …
[…] […]
FINRA says Brian Maguire traded shares in two companies after learning that a colleague was upgrading his recommendation on the firms.
[…] […]
Member FINRA/SIPC. Summit Financial is independently owned and operated. 2000 Crow Canyon Place, Suite 450, San Ramon, CA 94583.
[…] […]
“Finra utilizes sophisticated surveillance tools to detect and remediate this type of misconduct.
[…] […]
Start studying FINRA Practice. Learn vocabulary, terms, and more with flashcards, games, and other study tools.
[…] […]
(NYSE: BEN). Royce Fund Services, LLC, the Fund’s distributor, is a member of FINRA and the SIPC.
[…] […]
FINRA Rule 3110 requires member firms to supervise the activities of their associated persons and to conduct on-site inspections of all branch offices …
[…] […]
FINRA has suspended a Waddell & Reed broker for 45 days and fined him $5,000 for circumventing rules at his prior firm, Cetera.
[…] […]
FINRA suspended Blizzard on June 29, 2018, because he allegedly “failed to comply with an arbitration award or settlement agreement or to …
[…] […]
Seeking Alpha – FINRA bars former Goldman analyst for insider trading The Financial Industry Regulatory Authority (“FINRA”) bars former Goldman …
[…] […]
Treasury Partners is registered with Hightower Securities, LLC, member FINRA and SIPC & Hightower Advisors, LLC a registered investment advisor …
[…] […]
The Financial Industry Regulatory Authority (FINRA) has barred former Goldman Sachs research analyst Brian Maguire for purchasing securities using …
[…] […]
Furthermore, Roper said, “’best interest’ has been used to describe the previous FINRA suitability rule, the Advisers Act fiduciary guidance, and the …
[…] […]
Matt is FINRA-registered and holds the Series 7, 63 and 65 securities licenses as well as life, accident and health, variable annuity, and long-term care …
[…] […]