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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]
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]
13 Jul 2021, 8:42 am
FINRA Reportedly Suspends Advisor Stuart Pearl after Allegations of Unsuitable ETF Recommendations According to public records posted on July 1, 2021, the Financial Industry Regulatory Authority (FINRA) has reportedly suspended Stuart L. [read post]
13 Jul 2021, 5:54 am
On April 27, 2021, the SEC charged a former broker barred by FINRA with fraudulently raising funds. [read post]
David Lerner Associates Unsuitably Recommended Energy Resources 12 and Energy 11 To Disabled Widower
13 Jul 2021, 4:27 am
Family of Senior Investor Pursues Up to $500K in Damages on His Behalf The family of a Connecticut widower has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against David Lerner Associates after the older investor suffered a six-figure loss in Energy 11 and Energy Resources 12, which are sold exclusively by the brokerage firm to its customers. [read post]
12 Jul 2021, 2:48 pm
FINRA Bars Advisor Christopher Orlando after Allegations of Excessive Trading According to the Financial Industry Regulatory Authority (FINRA), the regulator has barred Christopher Orlando (CRD #4136262) from associating with any FINRA member at any time. [read post]
12 Jul 2021, 2:26 pm
FINRA also ordered Mr. [read post]
12 Jul 2021, 10:42 am
Northstar (Bermuda) Investor is Seeking Up to $500K in Damages An investor in Nagoya, Japan has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against Bancwest Investment Services after she suffered six-figure losses in Northstar Financial Services (Bermuda). [read post]
12 Jul 2021, 8:00 am
On June 30, 2021, FINRA ordered an approximately $70 Million financial penalty against Robinhood Financial LLC, the highest such penalty ever levied by the regulatory organization.[1] Through its investigation of the firm, FINRA charged Robinhood with numerous violations which had resulted in significant losses to their customers. [read post]
9 Jul 2021, 12:50 pm
Case In PointIn a FINRA Arbitration Statement of Claim filed in January 2021 and as amended, associated person Claimant Hook alleged that F... [read post]
9 Jul 2021, 12:50 pm
Roisman)FINRA Censures and Fines NEXT Financial Group for Funds and Bonds SupervisionIn the Matter of NEXT Financial Group, Inc., Respondent (FINRA AWC)FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement (BrokeAndBroker.com Blog)... [read post]
9 Jul 2021, 12:50 pm
Wasted Time By FINRA Regulatory Notice (BrokeAndBroker.com Blog)Order on Promoting Competition in the American Economy (White House Press Release)Federal Court Permanently Bans and Imposes an over $300,000 Penalty Against Foreign Trading Platform for Offering Illegal Leveraged Transactions in Ether, Litecoin, Bitcoin and Precious Metals (CFTC Release)SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web (SEC Release)SEC Charges Three Individuals with Insider… [read post]
9 Jul 2021, 12:50 pm
FINRA Arbitrators Directly Nullify Indirect Non Solicitation Agreement (BrokeAndBroker.com Blog)No Total Ban on Non-Competes Expected, Despite Biden Executive Order (AdvisorHub by by Miriam Rozen)Currency Exchange Manager Sentenced to One Year for Filing False Transaction Reports in Connection with Scheme to Defraud Philadelphia Wholesale Produce Market (DOJ Release)Long Island Resident Pleads Guilty to Multimillion-Dollar Elder Fraud Scheme (DOJ Release)SEC Denies Award to… [read post]
9 Jul 2021, 10:29 am
Parikh, please click on the following link: Former Aegis Capital Corp Broker, Kishan (Sean) Parikh, Facing Disciplinary Charges by FINRA for Unsuitable Investment Recommendations and Excessive Trading. [read post]
9 Jul 2021, 9:58 am
FINRA launched the investigation after it received information through the FINRA Securities Helpline for Seniors. [read post]
9 Jul 2021, 7:07 am
On the last day of the month, it levied $70 million in sanctions on Robinhood Financial, the largest financial penalty ever imposed by FINRA. [read post]
9 Jul 2021, 5:56 am
Or, can you hire a stockbroker fraud lawyer to represent you in FINRA arbitration? [read post]
8 Jul 2021, 7:09 am
Continue reading The post Popular Securities, LLC Broker Fernando Luis Monllor Suspended by FINRA – Ponce, PR appeared first on Securities Arbitration Lawyer Blog. [read post]
8 Jul 2021, 3:00 am
SRO Was Investigating Trading Activity in Customers’ Accounts The Financial Industry Regulatory Authority (FINRA) has barred Salvatore Pizzimenti from the industry. [read post]
7 Jul 2021, 2:01 pm
According to FINRA Disciplinary actions for June 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
