Ryan Friel

Marshall Dennehey

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Latest Posts › Financial Industry Regulatory Authority (FINRA)

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FINRA Grants Respondents’ Motions for Sanctions Against Claimant and Broker’s Request for Expungement

Marlin Keith Andrews v. William S. Humber and Stifel, Nicolaus & Co., Inc., FINRA Case #22-01176 - The claimant asserted causes of action including failure to supervise, breach of fiduciary duty, respondeat superior,...more

4/30/2024 / Breach of Duty , Broker-Dealer , Expungement , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Investment , Municipal Bonds , Sanctions

FINRA Encouraged to Take Remedial Action to Correct Broker’s CRD Record

Aramis Seferian v. Continental Broker-Dealer Corp., FINRA Case #23-00665 - The claimant broker requested expungement of two customer complaints from his CRD record. In an explained decision, the FINRA Panel denied the...more

4/30/2024 / Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Financial Services Industry , Investment Firms , Remedial Actions

Court Affirms Validity of Finra’s Six-Year Eligibility Rule

Strickland v. Calton & Associates, FINRA Case #22-02233 - The claimant asserted causes of action, including breach of fiduciary duty, negligence, violation of the Arizona Consumer Fraud Act, and negligent misrepresentation...more

10/5/2023 / Breach of Duty , Eligibility Determination , Financial Industry Regulatory Authority (FINRA) , Professional Liability

Arbitrator Finds No Extraordinary Circumstances Existed That Would Permit the Equitable Tolling of FINRA’s Six-Year Eligibility...

In an action filed in 2022 involving allegations of breach of fiduciary duty, negligence and fraud related to certain unspecified securities, an arbitrator granted the respondent broker-dealer’s motion to dismiss pursuant to...more

7/14/2023 / Arbitrators , Breach of Duty , Broker-Dealer , Financial Industry Regulatory Authority (FINRA) , Recordkeeping Requirements

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