Tag Archives: FINRA

NASAA backs FINRA proposal to further restrict high risk brokers

By John M. Jascob, J.D., LL.M. NASAA has offered broad support for a series of FINRA rule amendments that would place further restrictions on member firms that employ brokers with histories of significant misconduct. NASAA noted that high risk brokers … Continue reading

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FINRA Issues Notice to Firms Involved in Cryptocurrencies

The Financial Industry Regulatory Authority (FINRA) issued a regulatory notice (18-20) on July 6, 2018 titled: “FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets.” In summary, the notice request that firms “promptly notify … Continue reading

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FINRA Suspends Derrick Watts for Providing Misleading Information on Documents

The securities attorneys at Gana Weinstein LLP are investigating claims against Wunderlich Securities, Inc. (Wunderlich Securities) broker Derrick Watts (Watts). According to BrokerCheck records, Watts has been subject to a regulatory matter in which the Financial Industry Regulatory Authority (FINRA) sanctioned Watts … Continue reading

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Meier Barred by FINRA

(FINRA Case #2016049628301) Thomas Alan Meier (CRD #1146044, Miami, Florida) – An AWC (Accept, Waiver & Consent) was issued in which Meier was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Meier … Continue reading

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Broker George Oldoerp Sanctioned for Obstructing FINRA Investigation

The investment lawyers of Gana Weinstein LLP are investigating the regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against George Oldoerp (Oldoerp).  According to BrokerCheck records, Oldoerp was suspended by FINRA in May 2018. In addition, Oldoerp has been subject … Continue reading

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