Industry GovernorChief Operations/Compliance Officer, Herold & Lantern Investments, Inc.Governor Since 2020Committees: Nominating & Governance Committee, Regulatory Oversight CommitteeProfessional ExperienceChief Operations/Compliance Officer, Herold & Lantern Investments (1993 – present)FINRA Small Firm Advisory Committee (ex-officio, non-voting member)Member (2015 – 2020
The FINRA/Nasdaq TRF Carteret experienced an issue on Monday, April 1, 2024 that affected a subset of users due to connectivity issues with a number of TRF ports. While the issue was ongoing, Nasdaq advised the affected firms to use the FINRA/Nasdaq TRF Chicago as an alternative trade reporting facility to submit their trade reports.1 Nasdaq was able to resolve the issue before system close
SEC Approves New Supervision Rules
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
By Karen Braine, Vice President, Surveillance and Market Intelligence, Insider Trading DetectionFINRA’s Insider Trading Detection Program is designed to provide U.S. law enforcement and regulators worldwide with actionable intelligence about potential insider trading that occurs on the U.S. markets. The intelligence we provide — over 450 referrals in 2023 alone — routinely result in criminal and
Is there a rule that addresses prohibited conditions relating to expungement of customer dispute information?
Yes, FINRA Rule 2081 provides that no member or associated person shall condition or seek to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer’s agreement to consent to, or not to oppose, the member’s or associated person’s
CRD Payment Methods and Addresses
