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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Roman Sledziejowski, President and owner of Brooklyn, NY-based brokerage firm TWS Financial, LLC, charging him with defrauding three customers of more than $4 million through a scheme, carried on primarily outside the securities firm, involving converting client funds to his personal use while providing falsified account statements to his customers.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) today launched a new series of Investor Podcasts that provides clear, unbiased information on a variety of financial issues in an easily accessible format.
(a) General
No member or associated person shall, directly or indirectly, pay any compensation, fees, concessions, discounts, commissions or other allowances to:
(1) any person that is not registered as a broker-dealer under Section 15(a) of the Exchange Act but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under
There may come a time when you want to transfer your securities accounts between broker-dealers. If so, here’s what you need to know.Most customer accounts are transferred between broker-dealers through an automated process. The National Securities Clearing Corporation (NSCC) operates the Automated Customer Account Transfer Service (ACATS) to facilitate the transfer of a customer account from one
Listing of FINRA's Board of Governors.
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of the Securities
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that it has expelled WJB Capital Group, Inc. for misstating its financial records and for engaging in securities transactions while it was below its required net capital. FINRA also barred the firm's Chief Executive Officer, Craig A. Rothfeld, from the securities industry, and barred the firm's Chief Financial Officer, Gregory S. Maleski, from acting in a principal capacity.
Comment Period Expires August 31, 1993
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSyndicateSystemsTrading
Executive Summary
As part of its ongoing efforts to ensure investor protection and enhance market quality, the NASD® Board of Governors, at its July 16, 1993 meeting, approved issuance of a Notice to Members soliciting comment on its action to eliminate a
Washington, DC — The FINRA Investor Education Foundation launched its fourth general grant program today, formally inviting non-profit groups and researchers to apply for funding for projects that support its mission of providing Americans with the knowledge, skills and tools necessary for financial success. The Foundation is interested in funding projects that will reach and actively engage at-
The FINRA Investor Education Foundation announced today that BrightScore®, an online credit management tool, will be offered free of charge to active duty military personnel and their spouses to help them manage their credit wisely. BrightScorea new offering of the FINRA Foundation's multifaceted SaveAndInvest.org Military Financial Education Programis presented in partnership with the InCharge Institute of America.