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Finra Press Releases

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By Soreide Law Group PLLC
Soreide Law Group is accepting cases of clients who suffered losses due to broker recommendations in risky stocks such as Forcefield Energy FNRG.
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Harry Frischer, Partner, Proskauer Rose LLP will speak at the Knowledge Group’s webcast entitled: “FINRA’s...
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Zandra Foley, Partner, Thompson Coe Cousins & Irons, L.L.P.
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that James C.
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Jeffrey Plotkin, Partner, Finn Dixon & Herling LLP will speak at the Knowledge Group’s webcast entitled:...
12483511
By WebCE
WebCE, the leading provider of online education and training, is pleased to announce the immediate availability of Flash Tutor Regulatory Element Flash Cards S101 and S106.
By Quest CE
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the early release of its 2015 Firm Element Course Catalog.
By AdvisorVault
Evanston, IL. Core Wealth Planning an LPL Financial advisor, selects AdvisorVault as their third party vendor to help them with remote data backup and archiving of electronic records as required by SEC rule 17a-4. By Allan Lonz, CEO, AdvisorVault.org
12385752
By Solomon Exam Prep
In response to the new FINRA Series 24 outline, Solomon Exam Prep restructures its Series 24 Exam Study Guide giving Solomon students the most up-to-date Series 24 study materials available.
By Soreide Law Group PLLC
In June of 2014, an investor in the Mustaphalli Capital Partners Fund filed an arbitration against Dean Mustaphalli and Sterne Agee Financial Services, Inc.
12325537
By Spillane Trial Group PLC
Spillane Trial Group PLC announced today that Kelsey Hotchkiss joined the business litigation boutique this month as an associate.
By Quest CE
Quest CE announced today that it would, for the fourth consecutive year, be an exhibiting partner at FINRA’s 2014 Annual Conference in Washington, D.C., May 19 – 21.
By AdvisorVault
The ongoing supervision of electronic records for SEC rule 17a-4 is a constant challenge for FINRA firms such as broker-dealers and registered investment advisors. AdvisorVault offers features to simplify this and ensure full compliance.
By Imbesi Christensen
The law firm Imbesi Christensen received notification that the UI Appeal Board upheld a hearing award issued in favor of the firm's client, a FINRA broker and personal banker, who subsequently filed a $750,000 FINRA arbitration (Case No. 013-19533)
By Quest CE
Quest CE, a leading provider of compliance management technology and continuing education training, announced today the highly anticipated debut of its securities licensing and registration platform, Bridge for Broker-Dealers.
By Imbesi Christensen
The law firm of Imbesi Christensen received notification that a FINRA Arbitration panel issued an award of $850,004.90 to the firm's clients after a hearing, for a FINRA arbitration claim filed in January of 2011.
By Quest CE
By utilizing client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, built-out its most recent administrative feature, Email Blast Utility.
By Quest CE
As we transition into the New Year, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce an overview of the services/upgrades that are to become available in first quarter, 2013.
By Quest CE
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the industry’s first self-serviced, social media archiving solution, Codex Express.
By Imbesi Christensen
In the Matter of the FINRA Arbitration Between Claudia M. Hurtado, Claimant, vs. Chase Investment Services Corp., Respondent (FINRA Arbitration 11-00875, July 27, 2012). Expungement request granted after hearing.

All Press Releases

By Soreide Law Group PLLC
Soreide Law Group is accepting cases of clients who suffered losses due to broker recommendations in risky stocks such as Forcefield Energy FNRG.
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Harry Frischer, Partner, Proskauer Rose LLP will speak at the Knowledge Group’s webcast entitled: “FINRA’s...
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Zandra Foley, Partner, Thompson Coe Cousins & Irons, L.L.P.
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that James C.
By Quest CE
Quest CE today announced that its Branch Audit Management Platform has been honored with a 2015 GRC Innovation Award in the User Interface and Experience Category by GRC analyst firm GRC 20/20.
By The Knowledge Group
The Knowledge Group/The Knowledge Congress Live Webcast Series, the leading producer of regulatory focused webcasts, has announced today that Jeffrey Plotkin, Partner, Finn Dixon & Herling LLP will speak at the Knowledge Group’s webcast entitled:...
12483511
By WebCE
WebCE, the leading provider of online education and training, is pleased to announce the immediate availability of Flash Tutor Regulatory Element Flash Cards S101 and S106.
By Bondcube
Effective 01/21/15, Bondcube has become a FINRA broker/dealer member.
By Quest CE
Quest CE, premier provider of insurance continuing education and Firm Element training, is pleased to announce an agreement with FINRA (Financial Industry Regulatory Authority) to deliver its entire E-Learning Library through Quest CE’s LMS.
By Quest CE
Quest CE, premier provider of insurance continuing education and FINRA firm element training, is proud to announce the early release of its 2015 Firm Element Course Catalog.
By AdvisorVault
Evanston, IL. Core Wealth Planning an LPL Financial advisor, selects AdvisorVault as their third party vendor to help them with remote data backup and archiving of electronic records as required by SEC rule 17a-4. By Allan Lonz, CEO, AdvisorVault.org
12385752
By Solomon Exam Prep
In response to the new FINRA Series 24 outline, Solomon Exam Prep restructures its Series 24 Exam Study Guide giving Solomon students the most up-to-date Series 24 study materials available.
By Soreide Law Group PLLC
In June of 2014, an investor in the Mustaphalli Capital Partners Fund filed an arbitration against Dean Mustaphalli and Sterne Agee Financial Services, Inc.
12325537
By Spillane Trial Group PLC
Spillane Trial Group PLC announced today that Kelsey Hotchkiss joined the business litigation boutique this month as an associate.
By Quest CE
Quest CE announced today that it would, for the fourth consecutive year, be an exhibiting partner at FINRA’s 2014 Annual Conference in Washington, D.C., May 19 – 21.
By Soreide Law Group PLLC
If your broker heavily invested you on margin in Puerto Rico bonds you may have a monetary claim against your broker.
By AdvisorVault
The ongoing supervision of electronic records for SEC rule 17a-4 is a constant challenge for FINRA firms such as broker-dealers and registered investment advisors. AdvisorVault offers features to simplify this and ensure full compliance.
By Imbesi Christensen
The law firm Imbesi Christensen received notification that the UI Appeal Board upheld a hearing award issued in favor of the firm's client, a FINRA broker and personal banker, who subsequently filed a $750,000 FINRA arbitration (Case No. 013-19533)
By Quest CE
Quest CE, a leading provider of compliance management technology and continuing education training, announced today the highly anticipated debut of its securities licensing and registration platform, Bridge for Broker-Dealers.
By Genovese Joblove & Battista, P.A.
For information contact: Laise Lowachee llowachee@gjb-law.com; 305-913-6678 GENOVESE JOBLOVE & BATTISTA ATTORNEYS SECURE $1.9 MILLION FINRA AWARD MIAMI, FL – August 8, 2013 - A securities arbitration panel awarded a Puerto Rico-based family represented...
By Imbesi Christensen
The law firm of Imbesi Christensen received notification that a FINRA Arbitration panel issued an award of $850,004.90 to the firm's clients after a hearing, for a FINRA arbitration claim filed in January of 2011.
By Quest CE
By utilizing client and industry feedback, Quest CE, premier provider of insurance continuing education and FINRA firm element training, built-out its most recent administrative feature, Email Blast Utility.
By Stuart D. Meissner LLC
Closed end fund , the Willow Fund, sold by UBS is closing down in June. Investors were allegedly defrauded by the fund manager, who improperly invested in credit default swaps in Europe and lost 89% of the value of the fund.
By Quest CE
MILWAUKEE – March 22, 2013 – Quest CE, premier provider of insurance continuing education and FINRA firm element training, is pleased to announce the addition of a new firm element courses to its e-learning library.
By Imbesi Christensen
Attorneys Vincent Imbesi, Jeanne Christensen and Brittany Weiner, of the law firm Imbesi Christensen, represented the victorious FINRA broker.
By Quest CE
MILWAUKEE – March 18, 2013 - Quest CE, premier provider of insurance continuing education and FINRA firm element training, today formally announced the appointment of Linda Mieth-Krenke to the position of Chief Executive Officer (CEO).
By Koger, Inc.
As a leading provider of technology solutions to the financial services industry, Koger takes pride in staying current with the latest regulatory developments. One of the more recent developments in Koger products addresses FINRA Rule 5131(b).
By Quest CE
As we transition into the New Year, Quest CE, premier provider of insurance continuing education and FINRA firm element training, is excited to announce an overview of the services/upgrades that are to become available in first quarter, 2013.
By AdvisorVault
The D3P requirement outlined in 17a-3 and 17a-4 poses difficulty for small broker-dealer firms. They need a provider that offers a consolidated solution to help them successfully pass FINRA audits and keep the cost of compliance under control.
By Imbesi Christensen
In the Matter of the FINRA Arbitration between Thomas Campbell, Claimant, vs. Sigma Financial Corporation, Respondent (FINRA Arbitration 10-00378). Expungement request granted after hearing.

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