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1 Mar 2022, 5:22 pm
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
1 Mar 2022, 3:44 pm
Finra, whom denied any flaw in its process, hired the law firm of Lowenstein Sandler after a scathing order to vacate a Wells Fargo award. [read post]
1 Mar 2022, 3:16 pm
FINRA warned Merrill in 2013 about problems with its monitoring of customer fund transfers, according to the settlement letter, as quoted in Advisor Hub and FINRA rulings. [read post]
1 Mar 2022, 9:45 am
FINRA further found that between May 15, 2018 and July 30, 2018, he purportedly loaned a total of $13,703 to one customer and allegedly made false statements to FINRA. [read post]
1 Mar 2022, 9:33 am
FINRA Bars Beverly Hills Financial Advisor Following Unsuitability Allegations Ex-Oppenheimer and Hilltop Securities broker Dennis Phillip Ayre is barred by the Financial Industry Regulatory Authority (FINRA) beginning January 28, 2022. [read post]
1 Mar 2022, 4:45 am
About McGuireWoods’ Securities Enforcement and Litigation Team Our Securities Enforcement and Litigation Team is part of our elite Government Investigations and White Collar Litigation Department includes members of our nationally-recognized Financial Services Litigation Department and former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors. [read post]
28 Feb 2022, 9:04 am
Two days after he was terminated, FINRA barred Mr. [read post]
28 Feb 2022, 7:42 am
FINRA, the federal securities regulator, found in a recent report that brokers don’t always pay attention to customers’ risk tolerance and violate FINRA rules on risk monitoring. [read post]
28 Feb 2022, 7:08 am
Proposed Rule 205 and the CAT amendment would complement the proposed disclosure on Form SHO by mandating the reporting to CAT of “buy to cover” order marking information and requiring reliance on the bona fide market making exception in Regulation SHO.In contrast to data related to short sales that is currently collected and published by FINRA and the exchanges, the aggregated information derived from information reported on Form SHO and published pursuant to Rule 13f-2 would… [read post]
28 Feb 2022, 5:18 am
FINRA Targets Broker Dealers in SPAC Examination FINRA announced in October that while it wouldn’t disclose which brokerage firms were part of its examination sweep, that it would be looking at SPAC-related activates from July 2018 through September 2021, as well policies and procedures involving public offerings, suitability, due diligence, communications with customers, and product recommendations. [read post]
28 Feb 2022, 3:42 am
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
28 Feb 2022, 3:42 am
" In an unfolding drama involving a private equity fund manager, the New York State Attorney General, a FINRA registered person, and FINRA, we are quickly running out of hands. [read post]
28 Feb 2022, 3:42 am
In that spirit, I shall gladly accept the role of raconteur and offer a story of intrigue, of dubious derring-do, of international men of mystery, and, in the end, of a garden variety investor fraud somewhat gussied up by a lot of hyperbole.No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6316/finra-loan-awc/A close friend of yours is in a bind and needs a f... [read post]
28 Feb 2022, 3:42 am
No Good Deed Goes Unpunished As FINRA Sanctions Rep For Lending Money to Friend (BrokeAndBroker.com Blog)Wells Fargo Slammed With $1 Million Defamation/Fraud Award in FINRA ArbitrationIn the Matter of the Arbitration Between Aaron Olson, Claimant, v. [read post]
28 Feb 2022, 3:42 am
Imposes Sanctions on Russian Entities and Individuals / FINRA Alerts Firms to Sanctions (FINRA Regulatory Notice)Federal Courts and FINRA Arbitrators Consider If A Terminable-At-Will Employee Can Be Wrongfully Terminated (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6315/warfield-icon-finra/Let's assume that you just got called into your boss' office and fired. [read post]
28 Feb 2022, 3:42 am
Three-Handed Dilemma Grabs NYAG, NYPPEX, Laurence Allen, and FINRA (BrokeAndBroker.com Blog)Grand Jury Indicts New York Resident in Alleged Grandparent Scam (DOJ Release)Florida Woman Pleads Guilty To Role In Wire Fraud Conspiracy Involving Panamanian Boiler Rooms (DOJ Release)Texas Man Sentenced for $1.6 Million Investment Fraud Scheme / KC Brothers Also Pleaded Guilty to Fraud Scheme (DOJ Release)Three Sentenced for Conspiracy to Commit Bank and Wire Fraud (DOJ Release)Eastern Panhandle… [read post]
28 Feb 2022, 3:42 am
Wells Fargo Advisors, LLC, Respondent (FINRA Arbitration Award)SEC Charges Former Broker for Stealing from Elderly Investors (SEC Release)SEC Charges Investment Adviser with Failing... [read post]
28 Feb 2022, 3:00 am
Former MSC-BD Broker Robert Fehrman Made Unsuitable GPB Private Placement Recommendations A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a widow $221K in compensatory damages, legal fees, and costs against brokerage firm MSC-BD, LLC over losses she sustained in GPB private placements. [read post]
27 Feb 2022, 11:32 am
Continue reading The post FAQ – Liquidation of Investment Funds – South Florida FINRA Arbitration and Commercial Litigation Attorney appeared first on South Florida Arbitration & Litigation Lawyer Blog. [read post]
26 Feb 2022, 8:54 am
Rappaport was fined $30,000, suspended from associating with any FINRA member in all capacities for four months and suspended from associating with any FINRA in any principal capacity for 15 months. [read post]
