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Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has barred Tamara Lanz Moon of Redwood City, CA, from the securities industry for wrongfully taking over $850,000 in funds from at least 22 customers, including her own father.
Additional Violations Included Unreasonable Charges for Bond Trades; Former Chief Compliance Officer Fined and Suspended
COVID 19 has increased the demand for virtual arbitration and mediation hearings to ensure cases can proceed without lengthy delays. Upon request of the parties or order of the Panel, FINRA Dispute Resolution Services provides videoconferencing through the Zoom platform, accessible via finra.zoom.us.
FINRA DRS is committed to providing training and resources to arbitrators on how to use Zoom
Washington, DC - FINRA announced today that it imposed a $1.1 million fine on Banorte Securities International, Ltd. for unsuitable sales of Class B shares in off-shore mutual funds as well as failing to have adequate supervisory systems to monitor those sales.
REQUEST FOR COMMENT
Branch Office Definition
Comment Period Expires: September 20, 2002
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Branch Office Definition
Rule ModernizationRule 3010(g)(2)
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule
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Investment Analysis Tools
Comment Period Expires: September 13, 2002
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Investment Analysis ToolsRule 2210
Executive Summary
NASD Rule 2210(d)(2)(N) prohibits NASD member firms from making predictions or projections of investment results to the public.1 NASD staff has
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced that two former registered representatives, Peter D. Kelly and Daniel K. Ivandjiiski, have been barred from the securities industry for insider trading.
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Senior ManagementInstitutionalInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD is publishing this Notice to remind members that new Section 46 of Article III of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any dividend, payment, or distribution on the day
Washington, DC - A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 will stand, according to a ruling issued today by the National Adjudicatory Council (NAC), the appeals body of the Financial Industry Regulatory Authority (FINRA).
Washington, DC — A Financial Industry Regulatory Authority (FINRA) Hearing Panel issued a decision that imposed a 90-day suspension, a concurrent 10-day suspension, and a $12,500 fine against Scott Mathis, Chairman and CEO of New York's Investprivate, Inc. (now known as DPEC Capital, Inc.), for failing to disclose tax liens and two customer complaints on his Form U4s. Mathis and