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Broker banned by FINRA for reportedly cheating on exams

By | November 4th, 2019|Categories: FINRA|Tags: , , , , |

Brokers-to-be who are looking to break into day trading may want to be a little more inconspicuous if they cheat on tests, or not cheat at all. The Financial Industry Regulatory Authority claims Andrew Yoro cheated on the Series 7 examination by “consulting study materials during unscheduled breaks and then changing some of his answers.” [...]

FINRA protects investors, brokers in the securities industry – Part 1

By | October 14th, 2019|Categories: Arbitration, FINRA, Mediation|Tags: , , , , |

If you invest money in America and work with a broker or a firm, there’s a good chance you may have heard of FINRA.   The Financial Industry Regulatory Authority defines itself as a “not-for-profit organization that – working under the supervision of the SEC – actively engages with and provides essential tools for investors, member [...]