Tag Archives: FINRA

FINRA Issues 2018 Regulatory Guidance on Securities Backed Lines of Credit

On January 8, 2018, the Financial Industry Regulatory Authority (“FINRA”) published its Annual Regulatory and Examination Priorities Letter (“2018 Letter”).  The purpose of this letter is to highlight certain issues of importance to FINRA in the upcoming year, and serves … Continue reading

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FINRA Suspends Richard Botkin

Richard Botkin, a registered representative from Granite Bay, California, with Stifel, Nicolaus & Company and formerly with Morgan Stanley, was suspended from FINRA membership as a result of an investigation into his participation in private dealings without obtaining his firm’s … Continue reading

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FINRA Is Coming: Are Your Cryptocurrency Activities Covered?

The calendar may have started anew in 2018, but federal regulators have affirmed that they are still firmly focused on one of 2017’s emerging issues—cryptocurrencies and, more specifically, initial coin offerings (ICO). FINRA’s 2018 Regulatory and Examination Priorities Letter, which … Continue reading

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FINRA Publishes 2018 Annual Regulatory and Examination Priorities Letter

On January 8, 2018, FINRA published its 2018 Annual Regulatory and Examination Priorities Letter.  As we noted in our last blog post, FINRA announced in December 2017 that it would continue to make enforcement a priority in the coming year.  … Continue reading

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FINRA Bars Former Ameriprise Advisor for Alleged Churning of Accounts

On January 5, 2018, FINRA Enforcement signed off on a Letter of Acceptance, Waiver and Consent (“AWC”) between FINRA and former financial advisor Larry Martin Boggs (“Boggs” or “Respondent”) (CRD# 1582741).  Without admitting or denying FINRA’s findings, Mr. Boggs voluntarily … Continue reading

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