25-02460.pdf
Expungement Award
FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
24-01858(2).pdf
Amended
2022077257802 Cambridge Investment Research, Inc. CRD 39543 AWC ks.pdf
From at least January 2018 to February 2025, Cambridge failed to establish and maintain
a supervisory system, including written supervisory procedures (WSPs), reasonably
designed to surveil rates of deferred variable annuity exchanges. As a result, the firm
failed to detect 22 “inappropriate exchanges,” as defined in FINRA Rule 2330(d), by a
former registered representative that caused 14 customers to incur $129,938.79 in
unnecessary surrender fees.
Accordingly, Cambridge violated FINRA Rules 3110, 2330(d), and 2010.
MDF Law PLLC Comment On Regulatory Notice 26-06
I submit this comment on behalf of investors who are routinely forced into the FINRA arbitration forum after suffering significant financial losses. In my practice, I represent individuals who have lost substantial sums through elder financial fraud, ponzi schemes, and crypto currency scams.
2022073322201 Chapin Davis CRD 28116 AWC lp.pdf
On 17 days between August 2021 and May 2022, Chapin Davis conducted a securities business while failing to maintain the required minimum net capital and failed to notify the SEC or FINRA of those deficiencies.
SR-FINRA-2026-007
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to exempt specified collective trust funds (“CTFs”) from FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and from paragraph (b) (Spinning) of FINRA Rule 5131 (New Issue Allocations and Distributions).
2024084458201 William Steven Cooke CRD 2107758 AWC lp.pdf
Cooke refused to appear for on-the-record testimony requested pursuant to FINRA Rule
8210. As a result, Cooke violated FINRA Rules 8210 and 2010 and is barred from
associating with any FINRA member in all capacities.