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8 Feb 2022, 12:58 pm
Filing a Complaint against your Brokerage Firm The White Law Group is investigating FINRA arbitration cases involving James Couture and the liability his employers may have for failure to properly supervise him. [read post]
8 Feb 2022, 11:42 am
The brokerage firms can be held responsible for any losses in a FINRA arbitration claim if it is determined that they failed to properly supervise their agent. [read post]
7 Feb 2022, 7:03 am
You also probably won’t be surprised to see our old friends at FINRA popping up. [read post]
7 Feb 2022, 5:47 am
FINRA Customer Claimant Says Arbitrators ... [read post]
7 Feb 2022, 5:47 am
Fannin, Respondents (FINRA Arbitration Award)Ronin Capital Hit With $500,000 in Compensatory Damages in Labor DisputeJames Rego and Robert Hill, Claimant, v. [read post]
7 Feb 2022, 5:47 am
Mancinelli, Respondent (FINRA AWC)... [read post]
7 Feb 2022, 5:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6287/securities-industry-commentator/Federal Court Can't Find Any Basis For FINRA Arbitration Decision In HSBC Managing Director Case (BrokeAndBroker.com Blog)Chief Compliance Officers Revisit Personal Liability (FinOps Report by Chris Kentouris)SEC Charges Shari’ah-Focused Online Investment Service with Misleading Clients (SEC… [read post]
7 Feb 2022, 5:47 am
FINRA Customer Claimant Says Arbitrators Left Out Zeros In Award (BrokeAndBroker.com Blog)Five Defendants Charged In $8.4 Million "Boiler Room" Fraud And Money Laundering Scheme / The Defendants Operated Boiler Rooms Overseas and Shell Companies in the United States to Defraud Victims Around the World of Millions of Dollars (DOJ Release)SEC Proposes to Enhance Private Fund Investor Protection (SEC Release)Two Arrested for Alleged Conspiracy to Launder $4.5 Billion in Stolen… [read post]
5 Feb 2022, 12:03 pm
What Does FINRA Investigate? [read post]
4 Feb 2022, 10:15 am
Her ex-NPB Financial broker, who had recommended this risky investment vehicle, has since been barred by FINRA. [read post]
4 Feb 2022, 8:01 am
FINRA also found that the firm issued more than 6,000 research reports that omitted required disclosures. [read post]
3 Feb 2022, 4:54 pm
On January 25, 2022, Fulton Superior Court Judge Belinda Edwards issued an order vacating a FINRA arbitration award and finding, among other things that "Wells Fargo and its counsel manipulated the arbitrator selection process. [read post]
3 Feb 2022, 6:28 am
Contact us Stewart Has Customer Dispute Disclosures The investigation of publicly-available records conducted by the investor rights lawyers at Rosca Scarlato LLC law firm show that the registered broker and investment adviser has several customer dispute disclosures making similar allegations as revealed by his FINRA Brokercheck page. [read post]
3 Feb 2022, 6:28 am
Contact us Stewart Has Customer Dispute Disclosures The investigation of publicly-available records conducted by the investor rights lawyers at Rosca Scarlato LLC law firm show that the registered broker and investment adviser has several customer dispute disclosures making similar allegations as revealed by his FINRA Brokercheck page. [read post]
3 Feb 2022, 6:28 am
Contact us Stewart Has Customer Dispute Disclosures The investigation of publicly-available records conducted by the investor rights lawyers at Rosca Scarlato LLC law firm show that the registered broker and investment adviser has several customer dispute disclosures making similar allegations as revealed by his FINRA Brokercheck page. [read post]
2 Feb 2022, 2:01 pm
Our attorneys have significant experience handling investor and employment arbitration claims at FINRA, AAA, and JAMS. [read post]
2 Feb 2022, 10:03 am
According to his FINRA Broker report, the regulator has reportedly barred McGonigle from the securities industry on August 12, 2020 after he failed to answer FINRA’s request for information. [read post]
1 Feb 2022, 9:49 am
If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
1 Feb 2022, 8:44 am
If so, The White Law Group may be able to help you recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
31 Jan 2022, 9:15 am
About McGuireWoods’ Broker-Dealer and Investment Adviser TeamOur Broker-Dealer and Investment Adviser team includes members of our nationally-recognized Financial Services Litigation Department, our elite Government Investigations and White Collar Litigation Department, former senior SEC and FINRA enforcement attorneys and litigators, as well as high-level federal prosecutors. [read post]
