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27 Dec 2021, 8:04 am
RBC Capital Markets Settlement With FINRA Includes a Fine and Restitution RBC Capital Markets has reached an agreement with FINRA in which the broker-dealer will pay $1M to resolve allegations of overconcentration in customers’ accounts involving high-yield bonds. [read post]
27 Dec 2021, 7:12 am
What Is FINRA Rule 9554? [read post]
23 Dec 2021, 10:58 am
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously? [read post]
23 Dec 2021, 10:58 am
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously? [read post]
23 Dec 2021, 10:58 am
FINRA Says It Had No Part In Deciding Schwab Customer Arbitration -- Seriously? [read post]
23 Dec 2021, 10:58 am
Way back in pre-Covid 2017, a disgruntled Schwab customer filed a FINRA Arbitration Statement of Claim complaining about the release of his records to the IRS. [read post]
22 Dec 2021, 6:51 am
FINRA, the U.S. securities industry regulator, recently concluded a sweep of Unit Investment Trust (UIT) sales that resulted in a combined $16.8 million in restitution payments and $6.6 million in fines against six firms, according to Advisorhub.com. [read post]
22 Dec 2021, 6:33 am
FINRA, the federal securities regulator, has barred ex-Primerica/PFS broker Jeffrey Dampf, who had joined the firm in 2009, according to Thinkadvisor.com. [read post]
21 Dec 2021, 12:20 pm
Continue Reading › The post Ex-Parkland Securities Broker Keith Ashley, Who Is Accused of Murder, Faces FINRA Charges appeared first on Investor Lawyers Blog. [read post]
20 Dec 2021, 12:45 pm
It is a violation of FINRA’s rules as well as securities laws. [read post]
20 Dec 2021, 11:56 am
To learn more, please see: FINRA Fines JP Morgan Securities $2.8 Million for Supervisory Failures This information is publicly available and provided to you by The White Law Group. [read post]
20 Dec 2021, 9:58 am
FINRA’s action is its final one in its targeted probe into the sale of UITs. [read post]
17 Dec 2021, 11:51 am
To learn more about the firm’s investigations, please see: Wedbush Securities- Broker Misconduct, Customer Complaints and Regulatory Actions Wedbush Fined for Failure to Supervise FINRA Hits Wedbush Securities with $1.4 Million for Elder Abuse Free Consultation with a Securities Attorney This information is publicly available and provided to you by The White Law Group. [read post]
17 Dec 2021, 9:39 am
All of the Financial Industry Regulatory Authority (FINRA) arbitration claims involving Dunn were brought in 2021. [read post]
16 Dec 2021, 10:30 am
The White Law Group continues to investigate FINRA arbitration claims involving brokerage firms who may have unsuitably recommended non-traded REITs to investors. [read post]
16 Dec 2021, 9:39 am
Our non-traded REIT investment lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are speaking to NorthStar REIT investors to determine whether they have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim against their broker and/or broker-dealer. [read post]
15 Dec 2021, 1:44 pm
FINRA has announced that “ll in-person participants, including arbitrators, mediators, counsel, parties, paralegals, witnesses, and others, must be fully vaccinated to attend FINRA Dispute Resolution Services arbitration hearings or mediation sessions (hearing). [read post]
15 Dec 2021, 1:44 pm
FINRA has announced that “ll in-person participants, including arbitrators, mediators, counsel, parties, paralegals, witnesses, and others, must be fully vaccinated to attend FINRA Dispute Resolution Services arbitration hearings or mediation sessions (hearing). [read post]
15 Dec 2021, 8:58 am
DeGaetano “executed 470 securities transactions in the accounts of a fundraising organization for a charitable hospital without its authorization or consent,” according to the FINRA letter. [read post]
15 Dec 2021, 7:42 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
