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https://www.finra.org/filing-reporting/rule-4530-reporting-requirements
FINRA Rule 4530 requires firms to report specified events; quarterly statistical and summary information regarding written customer complaints; and copies of specified criminal and civil actions.. FINRA Rule 4530 was modeled after former [NASD Rule 3070] and former [NYSE Rule 351].Any matter that becomes subject to reporting or filing on or after July 1, 2011, must be reported or filed in ...
https://www.finra.org/rules-guidance/rulebooks/finra-rules/4513
Rather than keep and preserve the customer complaint records required under this Rule at the office of supervisory jurisdiction, the member may choose to make them promptly available at that office, upon request of FINRA. Customer complaint records shall be preserved for a period of at least four years.
https://www.gtlaw.com/en/insights/2018/2/finra-plans-major-changes-to-rules-governing-the-expungement-of-customer-complaint-information
FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the existing process for expunging reference to a customer complaint from a securities broker’s record on the Central Registration Depository (CRD) system.The public comment period for the proposed rule amendments ended on Feb. 5, 2018. The proposed changes will now to go the SEC for review and approval.
http://www.brokeandbroker.com/2975/finra-4530-/
According to FINRA Rule 4530, not every communication from a customer is a "complaint." Among the more common errors that I see many member firm compliance departments commit is to uniformly treat far too many "communications" from customers as involving a "complaint," when, in fact, the communication is merely an inquiry or comment.
https://study.com/academy/lesson/finra-rule-4530-customer-complaints-process-reports.html
FINRA Rule 4530 requires reporting of written customer complaints. But how is this done? This lesson will look at the process and reports for Rule 4530.
https://www.smarsh.com/regulations/finra-rule-3110b5-review-of-customer-complaints/
FINRA Rule 3110(b)(5) requires firms to have supervisory procedures for capturing, acknowledging, and responding to all written customer complaints, including those submitted electronically. This Rule does not apply to oral complaints; however, in the event of an oral complaint, firms should provide the customer with a form or other format in which he/she can communicate...
https://brokercheck.finra.org/
BrokerCheck is a trusted tool that shows you employment history, certifications, licenses, and any violations for brokers and investment advisors.
https://www.investopedia.com/articles/02/100902.asp
If you feel like you have been legitimately wronged, file a complaint with FINRA, the SEC, or both. If your advisor has a professional certification after their name, you can also notify the ...
https://www.investopedia.com/terms/f/finra.asp
The Financial Industry Regulatory Authority (FINRA) is an independent, nongovernmental organization that writes and enforces the rules governing registered brokers and broker-dealer firms in the ...
https://images.thinkadvisor.com/contrib/content/uploads/documents/415/318144/FINRA-2018-12-20-Forte-Lawrence-Complaint-and-Notice.pdf
Dec 20, 2018 · Complaint, in the manner and form described by FINRA Rule 9215, and to serve your Answer to the Complaint on all other parties pursuant to FINRA Rule 9133. Service of your Answer to the Department of Enforcement should be made to Albert A. Starkus, III, Senior Counsel, at the address referenced above.
https://advisorhub.com/resources/finras-hit-you-with-a-rule-8210-subpoena-now-what/
A FINRA subpoena can be triggered many different ways, from unusual activity in your clients’ accounts, to a customer sending a written complaint, to your former firm making allegations of ...
https://preview.finra.org/search
OTC Bulletin Board (OTCBB) The OTC Bulletin Board (or OTCBB) is an interdealer quotation system that is used by subscribing FINRA members to reflect market making interest in OTCBB-eligible securities (as defined by FINRA Rule 6530).…
https://preview.finra.org/
FINRA enables investors and firms to participate in the market with confidence by safeguarding its integrity. We deploy deep expertise, leading technology and extensive market intelligence to serve as the first line of oversight for the brokerage industry - all at no cost to taxpayers.
https://www.investmentnews.com/article/20150612/FREE/150619960/finra-files-complaint-against-broker-for-trying-to-inherit-1-8m-from
Jun 12, 2015 · Arbitration; Finra files complaint against broker for trying to inherit $1.8M from client with Alzheimer’s John Waszolek allegedly took advantage of the client's lack of capacity to be named ...
https://us.eversheds-sutherland.com/portalresource/lookup/poid/Z1tOl9NPluKPtDNIqLMRV56Pab6TfzcRXncKbDtRr9tObDdEuW3Cs0!/fileUpload.name=/2010%20D%20%20Heilizer%20Customer%20Complaints%20(Practical%20Compliance%20and%20Risk%20Management%20for%20the%20Sec.pdf
Customer Complaints By Deborah G. Heilizer Introduction ... in the caption of the complaint. The framework FINRA has cre-ated surrounding this requirement presents both operational and analytical challenges. Second, the forms now require the reporting ... quarterly pursuant to FINRA Rule 3070 or NYSE Rule 351(d).
https://www.mitchell-attorneys.com/expungement-of-finra-disputes
FINRA staff will then look at the basis upon which expungement was granted, i.e., those set forth in Rule 2080(b)(1). FINRA will waive the broker’s obligation to name FINRA as a party if the expungement was granted in accordance with the standards of Rule 2080(1). This waiver decision will be in writing.
http://www.brokeandbroker.com/3650/finra-complaint-expungement/
Rather than keep and preserve the customer complaint records required under this Rule at the office of supervisory jurisdiction, the member may choose to make them promptly available at that office, upon request of FINRA. Customer complaint records shall be preserved for a period of at least four years.
https://www.sec.gov/fast-answers/answerssuitabilityhtm.html
Feb 14, 2012 · You'll find FINRA's suitability rule and links to other FINRA materials concerning suitability in the FINRA Manual on FINRA’s website. If you believe your broker made unsuitable recommendations or engaged in another sales practice abuse, please send …
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