The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing a new rule that would allow investors to access information about a financial advisor’s business and disciplinary history directly from the firm’s web page. FINRA filed a regulatory notice in the Jan. 25 edition of the Federal Register. FINRA said the rule would […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   Glenn Loren Halpryn (CRD #1633028, Registered Principal, Aventura, Florida)  submitted a Letter of Acceptance, Waiver and Consent in which he was censured and fined $10,000.   Without admitting or denying the findings, Halpryn consented to the described sanctions and to the entry […]

The following information is from FINRA’s website under “Disciplinary Actions, March, 2012:   Erick Enrique Isaac (CRD #5691821, Registered Representative, Aventura, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Isaac consented to the […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Paul Cragg Larsen (CRD #1066833, Registered Representative, Naples, Florida) and   Quentin Marius Silic (CRD #4222363, Registered Representative, Naples, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which they were each barred from association with any FINRA member in […]

In a March 1st, 2012, article from InvestmentNews.com, Dan Jamieson writes that Finra is considering giving up its proprietary lock on BrokerCheck data, opening the way for a higher level of scrutiny of brokers' disciplinary information, observers said. Finra, the Financial Industry Regulatory Authority Inc., earlier this month requested comments on the idea of giving private […]