We are delighted to have him join
FINRA's regional committee and look forward to his involvement with this key industry organization in the days ahead."
According to a
FINRA spokesman, prior to creating the portal, "interested prospective committee members reached out individually to a committee member they knew, or perhaps a committee liaison from
FINRA.
"The coming year will bring both continuity and change in
FINRA's programs," CEO Robert Cook wrote in a note to firms that accompanied the Priorities Letter.
FINRA found that from March 2008 to June 2016, J.P.
Finra filed a civil case to collect the fine with a state court in New York.
Sutherland Asbill & Brennan LLP reports in its annual review of
FINRA disciplinary actions that total fines recovered by the agency went up by 125 percent in 2014, to $135 million from the previous year's $60 million.
Connecting Individual Investors to
FINRA Arbitration Through
Though both men were employed with JPMorgan Chase Securities LLC at the time of the wrongdoing, the firm was not a party to the
FINRA action.
Morgan Stanley has neither admitted nor denied the charges, but consented to the entry of
Finra's findings.
FINRA's current GC, Grant Callery, announced that he will retire in October, while the GC for Regulation, Marc Menchel, said he will be leaving on June 1 to go into private practice.
FINRA, Washington, talks about the rules that govern member firms' use of social networking websites and personal communications devices in
FINRA Regulatory Notice 11-39.