Robert L. Mitchell, a Texas-based advisor, was fired from Morgan Stanley for alleged unapproved outside business activity.
Tagged with "FINRA"
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Texas Advisor, Fired for Unapproved Outside Business Activity, Transitions to New Firm
Posted on March 5th, 2021 at 1:33 PM
FINRA Suspends Advisor Who Helped His Barred Father Service Clients
Posted on March 3rd, 2021 at 1:19 PM
The Financial Industry Regulatory Authority (FINRA) fined and suspended James Schumaker, an independent advisor.
Firms Seek FINRA Approval to Relax In-Person Inspection Requirements
Posted on February 22nd, 2021 at 9:54 AM
Member firms have requested that the Financial Industry Regulatory Authority (FINRA) ease in-person supervision requirements and revise other rules to reflect current digital business operations.
SEC Wants Court-Appointed External Monitor to Protect GPB Capital Investors
Posted on February 17th, 2021 at 9:22 AM
After charging GPB Capital executives with fraud, The Securities Exchange Commission (SEC) wants an external monitor to govern GPB Capital actions.
Florida Based Broker Barred for Improperly Seeking Virus Relief Loan
Posted on February 16th, 2021 at 10:54 AM
The Financial Industry Regulatory Authority (FINRA) has barred a former Wells Fargo bank-based broker accused of improperly seeking a coronavirus relief loan.
FINRA Issues Warning of Fraud Linked to Low-Priced Securities
Posted on February 12th, 2021 at 7:46 AM
The Financial Industry Regulatory Authority (FINRA) warns of potentially fraudulent activity involving low-priced securities offerings.
Regulation Best Interest Exams Among Top Exam Priorities for 2021
Posted on February 11th, 2021 at 11:12 AM
The Financial Industry Regulatory Authority (FINRA) expects real progress in compliance policies and procedures around Regulation Best Interest.
FINRA Warns of Potential China Trading Schemes
Posted on February 10th, 2021 at 3:07 PM
The Financial Industry Regulatory Authority (FINRA) warned of emerging stock-trading schemes executed by foreign entities.
FINRA Suspends Former New Jersey Advisor
Posted on February 3rd, 2021 at 9:44 AM
A former Northwestern Mutual advisor received a 20-month suspension and a $15,000 fine for violating FINRA rules.
FINRA Investigates Recipients of PPP Loans
Posted on January 28th, 2021 at 3:55 PM
As the effects of the COVID-19 pandemic took hold in the spring of 2020, the U.S. Small Business Administration offered a loan program for businesses called the Paycheck Protection Program (“PPP”).
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