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Jon Kroeper, EVP-Quality of Markets, to Depart FINRA

Jon Kroeper, EVP-Quality of Markets, to Depart FINRA
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United statesRay pellecchiaStephanie dumontJon kroeperTransparency servicesExecutive vice presidentMarket regulationRapid remediation

Broomfield court sits at epicenter of investment regulation in state – BizWest

Broomfield court sits at epicenter of investment regulation in state – BizWest
bizwest.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from bizwest.com Daily Mail and Mail on Sunday newspapers.

United statesBroomfield countyDistrict of columbiaBrian lutherJames brian moranOwen harnettMatthew edward robersonWilliam bringham jrRuss ryanLos gatosRay pellecchiaUs courtCivil liberties allianceExchange commissionFinancial industry regulatory authorityDenver tech center

Finra looks forward to defending enforcement authority in court

A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s authority.

United statesQuinn emanuelKurt wolfeKim brokercheckRay luciaMark uyedaHugh berksonJustin walkerRay pellecchiaEugeneh kimDc circuit in alpine securities corporationFinancial industry regulatory authority incUs courtSupreme courtPublic investors advocate bar associationAlpine securities corp

State regulators oppose expungement reform proposal approved by SEC

State regulators continue to oppose a Finra expungement reform proposal approved by the SEC earlier this week.

United statesRobert cookDavid adamsAndrew hartnettRay pellecchiaGoodwin proctorAmerican securities administrators associationExchange commissionPublic investors arbitration bar associationFinancial industry regulatory authority incFinancial industry regulatory authorityCentral registration depositorySecurities industryFinancial markets

Broker s fraud charges preceded by long history of working for banned firms

The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.

United statesBoca ratonNew yorkNew yorkerMike gilbertDouglas schulzCraig mccannJane doeSurage roshan pereraJonathan sokobinSheppard mullin richter hamptonPerera brokercheckRay pellecchiaLh ross coPrestige financial centerCaldwell international securities