FINRA Code of Arbitration Procedure for Industry Disputes
-
FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved “at least 3,560 text messages” about firm business, including sensitive personal information and investment advice.
-
UBS held liable for losses stemming from Tesla short-selling recommendations
Independent arbitration panel awards $92.2m in damages to investors.
-
FINRA disciplinary action update 2024/43
Disciplinary decisions issued November 2 – 8, 2024.