Tagged with "Chief Hearing Officer"

FINRA Discipline: FINRA Rule 9241

Posted on January 10th, 2017 at 9:16 AM
FINRA Discipline: FINRA Rule 9241

This is the thirteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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FINRA Discipline: FINRA Rule 9233

Posted on January 5th, 2017 at 9:36 AM
FINRA Discipline: FINRA Rule 9233

This is the eleventh in a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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FINRA Discipline: FINRA Rule 9232

Posted on January 3rd, 2017 at 9:52 AM
FINRA Discipline: FINRA Rule 9232

This is the tenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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FINRA Discipline: FINRA Rule 9231

Posted on December 24th, 2016 at 10:00 AM
FINRA Discipline: FINRA Rule 9231

This is the ninth in a series of posts to discuss the rules associated with the FINRA disciplinary process. 

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FINRA Discipline: FINRA Rule 9221

Posted on December 17th, 2016 at 10:00 AM
FINRA Discipline: FINRA Rule 9221

This is the seventh of a series of posts to discuss the rules associated with the FINRA disciplinary process.

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FINRA Discipline: FINRA Rule 9214

Posted on December 8th, 2016 at 9:00 AM
FINRA Discipline: FINRA Rule 9214

This is the fourth of a series of posts to discuss the rules associated with the FINRA disciplinary process.

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FINRA Discipline: FINRA Rule 9213

Posted on December 6th, 2016 at 9:18 AM
FINRA Discipline: FINRA Rule 9213

This is the third of a series of posts to discuss the rules associated with the FINRA disciplinary process.

 

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LATEST NEWS AND ARTICLES

September 22, 2023
State Regulators Maintain Opposition to FINRA's Remote Supervision Pilot Program

The North American Securities Administrators Association (NASAA) and the Public Investor Advocate Bar Association (PIABA) has consistently opposed the Financial Industry Regulatory Authority's (FINRA) proposal for a voluntary three-year pilot program for remote inspections.

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).