There are no facts that establish that the registered person committed an investment-related sales practice.
The facts also establish that the registered person did not commit an investment related sales practice violation.
Time and time again, these marital issues arise with often unanticipated results and troubling consequences to the servicing registered person.
FORBES: Husband's Unauthorized Withdrawals Land Stockbroker In Hot Water
Time and time again, these spousal issues arise with often unanticipated results and troubling consequences to the servicing registered person.
Needless to say, from a career survival perspective, a registered person should always obtain written approval from the employer brokerage firm.
FORBES: Former Chase Broker Initials And Signs His Way Out Of A Job
Tina Newman (OHO 2008011719501, March 30, 2011), in which registered person Newman was Barred for improper use of her corporate credit card.
No registered person should ever initial or sign on behalf of a customer without first securing prior written authorization from both the employer firm and the customer.
FORBES: Former Chase Broker Initials And Signs His Way Out Of A Job
Additionally, an away account in the name of a registered person or one in which that individual has a beneficial interest is a frequent focus of regulatory concern.
It will be interesting to see whether FINRA subsequently brings a regulatory action against its member firm IPI for defaming a registered person on Forms U4 and U5.
FORBES: FINRA Arbitration Claimant Stipulates to Defaming Former Employee
Finally, we have the classic pissed-off registered person who appears to have been dragged kicking and screaming by Respondent Chase through the initial customer complaint process and resulting settlements.
FORBES: Former Chase Broker Goes the Distance in FINRA Expungement Victory
The registered person shall also notify the member and the member shall pre-approve in writing any modifications to such arrangements, including any extension of the duration of such arrangements.
FORBES: FINRA Charges That Real Estate Loan Was Improper Borrowing By Stockbroker
"The trust is not aware of any recent offence having been committed or of any offence having been committed whilst on trust premises by the registered person, " a spokeswoman said.
This seems like the perfect outcome for a registered person wrongly named in and complaint and who became the inadvertent victim of seemingly benign settlement in which she played no role and contributed no money.
FORBES: Broker Wins Expungement of Sleeping Dog Customer Complaint
The registered person did not give specific tax advice and in fact Claimants received numerous documents notifying them that neither the registered person nor the member firm was in the business of giving tax advice.
If you are a registered person, note that even in a situation where you are honestly unaware of any red flags concerning an outside investment, FINRA may still tag you with a fine and a hefty suspension.
FORBES: FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
As such, the Respondents may have taken the position that Medical Capital perpetrated a fraud on the market as a whole, and that the brokerage firm and its registered person were similarly duped by the falsehoods and misrepresentations.
FORBES: Public Customer Wins Medical Capital Notes Arbitration
While FINRA conceded that Whittington did not know at the time of his solicitations that Oxford was engaged in a Ponzi scheme, that hardly informs us as to why the registered person was in such a state of ignorance.
FORBES: FOREX Private Securities Transactions Earn Stockbroker Fine And Suspension
Sometimes I have to recommend that the registered person consult with a legal malpractice lawyer because it is apparent that they were inadequately counseled about this nasty wrinkle and in some cases it turns out that the lawyer was unfamiliar with this statutory disqualification issue.
FORBES: FINRA Says Stockbroker Willfully Failed To Disclose Bankruptcy
Ms. Feinstein's new proposal also calls for gun registration, and the reasoning is straightforward: If a gun has been left at a crime scene and it was registered to the person who committed the crime, the registry will link the crime gun back to the criminal.
Florida ballots cast in person by registered Republicans totaled 431, 520.
Under the new rules only one account per person can be registered within Argentina.
For People View, once a person's likeness has been registered with the software, Image Assorting Technology and Face Recognition technology is utilized to automatically upload a specific person's image to their respective folder for easy access.
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Krell Davis estimated that nearly a quarter of the state's 10 million registered voters would vote either in person early or by absentee ballot.
CNN: Early voting reaching record numbers, election officials say
That's the North American Securities Administrators Association, because I don't care how much they trust this person, they need to make sure this person is licensed or registered.
According to figures provided Wednesday by the Florida Democratic Party, in-person early-vote ballots cast by registered Democrats in Florida totaled 772, 694.
Thus the inclusion of Lakshmi Mittal (whose steel business is registered in the Netherlands) as India's richest person.
"If a 15-year-old 'sexted' a picture of him or herself, it is safe to say that prosecutors would take appropriate steps to ensure that person isn't required to become a registered sex offender for life, " Mr Burns told the Associated Press news agency.
They can lease registered property, or share a house with a fully qualified person.
And 65 firms that have registered many different names are charged as much as several dollars for each person that clicks on their site, depending on the value of the goods and services they offer.
The issue affected the approximately 117, 600 customers who had registered the iPhone app with Citi since its launch in March 2009, a person familiar with the matter said.
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