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1 Apr 2022, 1:41 pm
Senior Investor’s Funds Were 100% Concentrated in Risky Offshore Investment Our Northstar Financial Services (Bermuda) investment lawyers have filed yet another FINRA arbitration claim against J.P. [read post]
1 Apr 2022, 2:12 am
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
31 Mar 2022, 8:51 am
Accordingly, FINRA will look first to a member firm’s senior business management and supervisors to determine responsibility for a failure to reasonably supervise. [read post]
31 Mar 2022, 8:46 am
FINRA Reportedly Suspends Aegis Broker Scott Hananel for Excessive, Unsuitable Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has suspended Scott Neil Hananel (CRD#: 3080827) for 15 months and fined him $7,500 in connections with allegations that he engaged in excessive and unsuitable trading in Aegis accounts of six of his customers between July 2014 and December 2018. [read post]
31 Mar 2022, 3:46 am
FINRA Rule 4111 – Knock-out Blow from FINRA? [read post]
30 Mar 2022, 6:09 pm
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
30 Mar 2022, 8:23 am
After FINRA’s investigation into Fedorko’s trading, it imposed sanctions of a $7,500 fine and a ten-month suspension from affiliation with any FINRA member broker in all capacities. [read post]
30 Mar 2022, 5:57 am
The Morgan Stanley defendants instead filed a motion to compel arbitration, arguing that the claims need to be heard in a FINRA arbitration. [read post]
29 Mar 2022, 5:51 pm
A financial advisor or investment advisor under the oversight of FINRA may have a time-sensitive obligation to disclose their arrest in a Form U4 to FINRA. [read post]
29 Mar 2022, 2:34 pm
There is a proposed class action pending, but individual advisors may be better served by bringing their individual claims as FINRA arbitrations. [read post]
28 Mar 2022, 10:21 am
SEC Chair Gary Gensler will open the event followed by a panel discussion with Richard Best, Acting Director of the SEC’s Division of Examinations; Nancy LeaMond, Executive Vice President and Chief Advocacy and Engagement Officer at AARP; and Christine Kieffer, Senior Director of the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation. [read post]
28 Mar 2022, 7:20 am
Beechwood Bermuda Investor Was Unsuitably Recommended Non-Traded REIT Healthcare Trust Another Chinese investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Cetera Investment Services over losses suffered in Beechwood Bermuda (a Northstar Financial Services (Bermuda)-related product). [read post]
25 Mar 2022, 11:55 pm
https://www.finra.org/media-center/newsreleases/2022/finra-extended-hearing-panel-expels-alpine-securities-orders-alpine --- Mark J. [read post]
25 Mar 2022, 12:16 pm
Arousing the Wrath of the Great and Powerful SEC and FINRA (BrokeAndBroker.com Blog)Cybercriminal Connected to Multimillion Dollar Ransomware Attacks Sentenced for Online Fraud Schemes (DOJ Release)Phony Investment Adviser Sentenced To 16 Years In Prison (DOJ Release)SEC Awards $1.25 Million to Whistleblower ClaimantOrder Determining Whistleblower Award ClaimsFINRA Bars JPMorgan Securities Rep for Reversing Bank FeesIn the Matter of Jeffrey Karakatsanis, Respondent (FINRA AWC)Fines… [read post]
25 Mar 2022, 12:16 pm
After a guilty verdict is rendered in a criminal trial, the convicted defendant often battles on via appeals and appeals and appeals. [read post]
25 Mar 2022, 12:16 pm
FINRA Referral Letter Cited In Federal Insider Trading Appeal (BrokeAndBroker.com Blog)SEC Holds Fidelity Transfer Services In Default and Orders Cease-and-Desist (No -- not "that" Fidelity but apparently another Fidelity)In the Matter of Fidelity Transfer Services, Inc. and Ruben Sanchez (SEC Opinion)Former Comptroller And Compliance Specialist At Investment Adviser Firm Pleads Guilty To Conspiring To Defraud Clients (DOJ Release)Brooklyn Man Pleads Guilty to Insider Trading and… [read post]
25 Mar 2022, 12:16 pm
FINRA Arbitration Claimant Asks Federal Court to Appoint Counsel (BrokeAndBroker.com Blog)SEC Charges Seven California Residents in Insider Trading Ring / Three tech company employees along with family and friends charged in $1 million scheme (SEC Release)CFTC Awards Approximately $625,000 to Four Whistleblowers (CFTC Release)SEC Proposes Rules to Include Certain Significant Market Participants as "Dealers" or "Government Securities Dealers" (SEC Release)Statement on… [read post]
25 Mar 2022, 12:16 pm
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6375/womack-commonwealth-finra/In a recent FINRA Arbitration Award, it seemed that ... [read post]
25 Mar 2022, 12:16 pm
FINRA Arbitrators Hit Commonwealth Financial with Compensatory and Punitive Damages in Defamation Case (BrokeAndBroker.com Blog)BREAKING NEWS: Supreme Court Rejects "Look-Through" Approach in Confirming/Vacating Arbitration AwardsDenise A. [read post]
25 Mar 2022, 12:16 pm
Case in PointPublic customer Kelli Fusaro apparently filed a FINRA Arbitration Statement of Claim against FINRA member firm Cambria Capital, LLC. [read post]
