WebThe content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms.Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.. State regulators are governed by their public … Web1001 to 5000 Employees. Founded: 2007. Type: Nonprofit Organization. Industry: Investment & Asset Management. Revenue: $500 million to $1 billion (USD) FINRA is dedicated to investor protection and market integrity.
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WebSep 13, 2024 · FINRA is a self-regulatory organization (SRO) that oversees broker-dealer firms, registered brokers, and market dealings in the US. Empowered by the Securities and Exchange Commission (SEC), FINRA ... WebOct 14, 2015 · Associate Regional Director, Dispute Resolution Services (West Region) FINRA. Jun 2016 - Aug 20244 years 3 months. Los Angeles. Oversaw the administration of approximately 1,000 securities-related ... fairfax county business occupancy permit
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WebIn connection with a 2009 FINRA examination, staff from FINRA’s Los Angeles district office reviewed Eplboim’s activities with Epandco for the period 2007 through March 2009. At FINRA staff’s request, Eplboim produced certain documents requested by FINRA for the period FINRA examined.2 WebBrokerage Firm Regulated by FINRA (Los Angeles district office) MAIN ADDRESS. 11100 SANTA MONICA BLVD SUITE 800 LOS ANGELES, CA 90025 UNITED STATES . ... LOS ANGELES, CA 90025 UNITED STATES . Mailing Address 11100 SANTA MONICA BLVD SUITE 800 LOS ANGELES, CA 90025 UNITED STATES . Phone 310-966-1444. WebMake sure you know who you’re dealing with when investing, and contact FINRA with any concerns. For more information read our investor alert on ... ACORNS SECURITIES, LLC . ACORNS SECURITIES, LLC. CRD#: 168172 /SEC#: 8-69294. B . Brokerage Firm Regulated by FINRA (Los Angeles district office) MAIN ADDRESS. 5300 CALIFORNIA … fairfax county bus driver job fair