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16 Jul 2021, 7:08 am
FINRA Fines and Suspends Rep For Seeking COVID Loan (BrokeAndBroker.com Blog)South Carolina Investment Fund Manager Sentenced to 63 Months in Prison for $20 Million Securities Fraud Scheme (DOJ Release)Memphis Man Sentenced to Federal Prison for Fraud Scheme Targeting Nonprofits (DOJ Release)SEC Charges Connecticut Man for Fraud in Hotel Renovation Investment (SEC Release)FINRA Fines and Suspends Rep for PSTs in Away Retirement AccountsIn the Matter of Timothy Ray Plant, Respondent… [read post]
16 Jul 2021, 7:08 am
FINRA Sanctions CCO/AMLCO Over Microcap Red Flags And Private Placement Disclosures (BrokeAndBroker.com Blog)SEC Charges Retailer and Former CEO for Accounting, Reporting, and Control Failures (SEC Release)Manhattan Investment Fund Manager Sentenced To 5 Years In Prison For Securities Fraud And Misappropriation Scheme (DOJ Release)Colorado CEO and Fund Manager Arrested for $10 Million Securities Fraud Scheme (DOJ Release)SEC Awards Over $2.9 Million to WhistleblowerOrder Determining… [read post]
16 Jul 2021, 7:08 am
UBS Settles Charges Related to Investments in Complex Exchange-Traded Product (SEC Release)SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer (SEC Release)FINRA Sanctions Wilson-Davis and Three Principals Over Microcap Supervision(FINRA Order Accepting Offer of Settlement)SEC Awards About $40,000 to WhistleblowerOrder Determining Whistleblower Award Claim FINRA Amends Rules 5122 and 5123 Filing Requirements to Include Retail Communications That… [read post]
16 Jul 2021, 7:08 am
FINRA alleges that the firm's CCO/AMLCO came up short. [read post]
16 Jul 2021, 6:01 am
Talk to a Securities Fraud Attorney About Filing for Arbitration The securities fraud attorneys at Zamansky LLC have decades of experience helping investors recover their fraud losses through arbitration with the Financial Industry Regulatory Authority (FINRA). [read post]
15 Jul 2021, 3:45 pm
FINRA has fined and censured Laidlaw & Company (UK) Ltd. [read post]
15 Jul 2021, 2:26 pm
The brokerage industry is regulated by the Financial Industry Regulatory Authority (FINRA), which, until recently, has long imposed FINRA Rule 2111, known as the “Suitability Rule” on all licensed stockbrokers and the brokerage firms that employ them. [read post]
15 Jul 2021, 11:03 am
FINRA Sanctions Next Financial Group for Unsuitable Mutual Fund Trading The White Law Group is investigating potential securities claims involving Next Financial Group (CRD# 46214). [read post]
15 Jul 2021, 11:01 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, please visit https://www.whitesecuritieslaw.com. [read post]
15 Jul 2021, 7:47 am
He is reportedly not currently registered as a broker, according to FINRA. [read post]
15 Jul 2021, 5:25 am
Prior to that he worked for Edward Jones in Eldorado Hills, CA for two years, according to FINRA. [read post]
15 Jul 2021, 1:18 am
Christopher Conness Has Been Registered with FINRA for 16 Years Grant C. [read post]
15 Jul 2021, 1:18 am
Christopher Conness Has Been Registered with FINRA for 16 Years Grant C. [read post]
15 Jul 2021, 1:18 am
Christopher Conness Has Been Registered with FINRA for 16 Years Grant C. [read post]
14 Jul 2021, 1:33 pm
FINRA has fined and censured NEXT Financial Group, Inc. [read post]
14 Jul 2021, 1:09 pm
Firms that do not perform adequate due diligences on an investment or demonstrate a breach of fiduciary duty can be held accountable for losses incurred through FINRA arbitration. [read post]
14 Jul 2021, 9:46 am
FINRA Bars Royal Alliance Broker John Swon IV after allegations of Misappropriated Funds According to public records on FINRA’s website, the regulator reportedly barred financial advisor John Swon IV from the securities industry after he purportedly failed to provide information and documents requested by FINRA in connection with its investigation concerning allegations in a customer complaint that he misappropriated funds. [read post]
14 Jul 2021, 9:23 am
FINRA Sanctions Sanctuary Securities Inc. for Reps Unsuitable ETF Sales The White Law Group is investigating potential securities claims involving Sanctuary Securities Inc. [read post]
14 Jul 2021, 6:30 am
Old Mutual Investor Seeks Up To $500K in Damages An investor from Mexico has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against J.P. [read post]
14 Jul 2021, 4:09 am
Brooklyn Chandler Willy Has Been a Registered Investment Adviser Since 2014 According to Willy’s FINRA Brokercheck page, she has been a registered with IAPD since 2014 and switched employers four times. [read post]
