This is a classic case of FINRA playing what I have often called regulatory hide-and-seek.
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The FINRA Arbitration Panel granted the motion and Ben was never called as a witness.
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By the way, when will FINRA be going after all those Kentucky Colonels and mail-order ministers?
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We ran both funds through the fund analyzer at FINRA, an industry-run regulator.
Finra spokesman Howard Schloss responds that the board has a majority of public members.
Even the Chamber of Commerce had harsh words for Finra in a report this summer.
But Condon denied that IRS rules were being violated, saying FINRA lawyers considered the instructions unclear.
In The Matter of the FINRA Arbitration Between Wells Fargo Advisors, LLC, Claimant, vs.
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Keep in mind that FINRA accepted some blame for the Madoff and Stanford Financial fiascos.
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Perhaps Wurz was represented by a superb lawyer or FINRA has somewhat overstated the facts.
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The hearing panel agreed, but said the Federal Arbitration Act prevented FINRA from enforcing those rules.
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The five cited FINRA member firm respondents are indirect subsidiaries of ING Groep N.
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In the terse words of the sole FINRA Arbitrator: denied, denied, denied, and denied.
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Kalla implies that the investigation started before Mr. Blumenschein began his term as a FINRA Governor.
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John Marshall, Roilance Verkennis, and Lincoln Financial Advisors Corporation, Respondents (FINRA Arbitration 10-01192 April 27, 2011).
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FINRA, the Financial Industry Regulatory Authority, has issued guidelines on the proper use of social media.
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Scott is indicated as not having been registered with a FINRA member firm since August 2011.
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NASD, FINRA obtained a protective order shielding from public disclosure the substance of the IRS letter.
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This makes it important that both the SEC and FINRA establish the rules quickly.
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In accordance with the terms of the AWC, FINRA imposed a Bar upon Hastings.
You can run a broker check on any licensed investment professional on the FINRA website.
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In fact at one time Ponzi king Madoff was the vice-chairman of FINRA predecessor, NASD.
Finra's bloated costs are just one reason independent investment advisors vehemently oppose coming under its finger.
Significantly, Finra's critics are a diverse lot--and not just the predictable investor advocates and disaffected brokers.
Finra will evaluate the claims, though the agency has said Nasdaq will make the final decision.
Ms. Walter recuses herself from some Finra-related matters, people familiar with her involvement said.
Elisse Walter, the SEC's chairman since Ms. Schapiro left, also is a former Finra executive.
At that point, FINRA is not typically disposed to approve the sale of the member firm.
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And this anger is not solely directed at FINRA staff but also at the former lawyer.
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Furthermore, the pilot program would provide FINRA with necessary data for their own regulatory programs.
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