Tag Archives: Registrations

Firm Fined $1.25 Million for Failure to Run Adequate Background Checks

The Financial Industry Regulatory Authority (FINRA) announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated persons (NRAs) from January 2009 through May 2017.   Additionally, FINRA found that for more than eight years, J.P. Morgan did … Continue reading Firm Fined $1.25 Million for Failure to Run Adequate Background Checks

Broker-Dealer & Investment Adviser Renewal Update for 2014

2014 Renewal Calendar On November 11, 2013, FINRA posted the online Preliminary Renewal Statements on Web CRD and Web IARD, which commenced the 2014 renewal season for broker-dealers and investment advisers. The FINRA renewal calendar is as follows: November 11, 2013    Preliminary Renewal Statements available on Web CRD/IARD. December 13, 2013    Full payment of Preliminary … Continue reading Broker-Dealer & Investment Adviser Renewal Update for 2014