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FINRA’s BrokerCheck May Soon Be Linked to Firm Websites

January 29th, 2013|

The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing a new rule that would allow investors to [...]

Aventura, FL, Rep Fined by FINRA

April 26th, 2012|

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   Glenn Loren Halpryn (CRD #1633028, Registered Principal, [...]

Aventura, FL, Rep Barred by FINRA

April 16th, 2012|

The following information is from FINRA’s website under “Disciplinary Actions, March, 2012:   Erick Enrique Isaac (CRD #5691821, Registered Representative, [...]

Two Naples, FL, Reps Barred by FINRA

March 5th, 2012|

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Paul Cragg Larsen (CRD #1066833, Registered Representative, [...]

Finra May Soon Allow Total Access on BrokerCheck

March 5th, 2012|

In a March 1st, 2012, article from InvestmentNews.com, Dan Jamieson writes that Finra is considering giving up its proprietary lock [...]