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31 Jan 2022, 8:44 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
31 Jan 2022, 7:18 am
Contact us at Shepherd Smith Edwards and Kantas today so that we can help you determine whether you have grounds for a FINRA arbitration claim to file for damages. [read post]
31 Jan 2022, 6:41 am
August, 2014: A customer dispute alleged “breach of fiduciary duty, a failure to supervise, negligence, fraud, breach of contract and violation of NASD and FINRA rules. [read post]
31 Jan 2022, 2:35 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6275/securities-industry-commentator/Court Finds FINRA Arbitration Process Not Fundamentally Fair (BrokeAndBroker.com Blog)CFTC Charges Texas Resident with Misappropriating Confidential Information and Participating in a Brokerage Kickback Scheme (CFTC Release)Former President of Energy Company Indicted for Commodities Insider Trading and… [read post]
31 Jan 2022, 2:35 am
Mollura, Respondent (FINRA AWC)... [read post]
31 Jan 2022, 2:35 am
FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)In re: JANUARY 2021 SHORT SQUEEZE TRADING LITIGATION (This Document Relates to the Robinhood Tranche) (Order SDFL)CFTC Charges South Florida Resident and His Firm for Operating a $9.8 Million Commodity Futures and Options Fraud (CFTC Release)Cardinal Health Agrees to Pay More than $13 Million to Resolve Allegations that it Paid Kickbacks to Physicians (DOJ Release)SEC Denies Enforcement Testimonial Subpoena for… [read post]
31 Jan 2022, 2:35 am
Well, FINRA had one of those days. [read post]
31 Jan 2022, 2:35 am
That backstory notwithstanding, it's hard to argue against FINRA's imposition on Vungarala of a Bar and the SEC's ratification of same; and it's equally difficult to dispute a FINRA arbitration panel's imposition of compensatory and punitive damages against him. [read post]
31 Jan 2022, 2:35 am
GFI Securities LLC, Respondent (FINRA Arbitration Award)FINRA Arbitrators Grant Stipulated Award in Lump Sum Annuity Distribution DisputeDavid Epstein and Ethan Epstein, Claimants, v. [read post]
31 Jan 2022, 2:35 am
FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)In re: JANUARY 2021 SHORT SQUEEZE TRADING LITIGATION (This Document Relates to the Robinhood Tranche) (Order SDFL)FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6256/robinhood-finra-arbitration/By now, you'd think that Wall Street's regulatory community would want something akin to full disclosure to the investing public about… [read post]
31 Jan 2022, 1:50 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
28 Jan 2022, 12:55 pm
Northstar Bermuda Claimants Seek Up To $500K in Damages For Their Losses Three investors have filed a FINRA arbitration claim against Raymond James Financial Services and Copper Financial (also known as Community America Financial Solutions, LLC). [read post]
28 Jan 2022, 11:50 am
Lucie, Florida was sentenced to 35 years in prison following his conviction at trial on securities fraud charges related to his sale, through his company Dominion Private Client Group, of unregistered securities in companies that he owned and controlled, despite his previous FINRA bar from the securities industry. [read post]
27 Jan 2022, 2:30 pm
About Emerson Equity Emerson Equity LLC is a San Mateo, CA-based brokerage and investment adviser firm that has been registered with FINRA and the SEC since 2004. [read post]
27 Jan 2022, 2:20 pm
FINRA rules and regulations prohibit this type of borrowing from a client and brokerage firms have a duty to supervise this type of activity. [read post]
27 Jan 2022, 12:54 pm
Our savvy securities attorneys are here to help determine whether you have grounds for a FINRA arbitration claim to pursue damages. [read post]
27 Jan 2022, 8:45 am
Credit Suisse Securities (USA) LLC, FINRA No. 16-03065. [read post]
26 Jan 2022, 10:50 pm
The Financial Industry Regulatory Authority (FINRA) recently took regulatory action against brokerage firm Triad Advisors LLC in connection with sales of the LJM Preservation & Growth Fund. [read post]
25 Jan 2022, 9:39 am
Such systems would have enabled the firm to comply with FINRA’s suitability rule. [read post]
25 Jan 2022, 7:38 am
A former customer of Scott Reed, an ex-Wells Fargo Clearing Services broker, has filed a FINRA arbitration claim. [read post]
