The Financial Industry Regulatory Authority (FINRA) maintains an archive of frequently asked questions regarding the application of FINRA Rule 2080 relating to the disclosure of customer dispute information. Additional procedures relating to expungement sought of the arbitration panel stage customer dispute proceedings are contained in Rules 12805 and 13805 of the FINRA Code of Arbitration […]
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FINRA’s TRACE System Promotes Bond Market Transparency
The Financial Industry Regulatory Authority (FINRA) maintains the Trade Reporting and Compliance Engine (TRACE) vehicle to facilitate the mandatory reporting of bond sales in the United States. This includes all bonds interfacing with transactions in the over-the-counter secondary market in eligible fixed income securities. All broker/dealers who are FINRA member firms are required to report […]
Read PostSEC Updates Investment Advisor Public Disclosure Website
The Securities and Exchange decision has updated its Investment Advisor Public Disclosure webpage, affording investors easy access to the disciplinary histories of registered investment advisors and individual investment advisor representatives. The various categories of disclosures contained on the reporting form (“Form ADV”) also includes states of registration, disciplinary events, biographical background and conduct, current registrations […]
Read PostFINRA Resource for Brokers With Form U4 and U5 Questions
The Financial Industry Regulatory Authority (FINRA) maintains a comprehensive archive of frequently asked questions regarding a registered person’s reporting obligations with respect to mandated Forms U4 and U5. Many brokers have been wrongfully burdened with intentional, improper and even fraudulent reporting amendments to the Central Register Depository (CRD), with bogus claims and allegations of wrongdoing. […]
Read PostTimothy J. O’Connor Featured on Benchmark
On February 16, 2016 Timothy J. O’Connor was featured on Benchmark Television in an interview on the topic of Financial Fraud having been interviewed by Colonie Town Judge Peter Crummey. In the interview Mr. O’Connor answered a number of questions from Judge Crummey relating to the arbitration of securities disputes before the FINRA (Financial Industry […]
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