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30 Jun 2021, 6:30 am
Neovest Trading was registered as a broker-dealer with the Commission and FINRA from 1996 until 2006. [read post]
30 Jun 2021, 5:49 am
For those who rely on their broker’s or investment advisor’s advice, filing a claim in FINRA arbitration may be an option as well. 2. [read post]
30 Jun 2021, 5:32 am
His activities resulted in 66 clients paying a total of $952,764 in commissions and fees, while incurring total net losses of $934,482,” FINRA said. [read post]
29 Jun 2021, 10:15 am
Hernandez was expelled from the brokerage industry for refusing FINRA’s request to appear for on-the-record testimony pursuant to FINRA Rule 8210. [read post]
29 Jun 2021, 9:55 am
FINRA has barred former Triad Advisors LLC broker Nathan Gersteen Katz from the securities industry. [read post]
29 Jun 2021, 6:30 am
The Financial Industry Regulatory Authority (FINRA) provides an arbitration forum for investors to resolve disputes with their brokerage firm. [read post]
28 Jun 2021, 6:09 pm
Perry was expelled from the brokerage industry for refusing to cooperate with a FINRA investigation after Mr. [read post]
28 Jun 2021, 12:17 pm
FINRA Bars former Advisor Nathan Katz after Allegations of Misconduct According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Nathan Gersteen Katz (CRD#: 846475) from association with any FINRA member at any time. [read post]
28 Jun 2021, 11:52 am
On June 25, 2021, Merrill Lynch and the Financial Industry Regulatory Authority (“FINRA”) entered into a Letter of Acceptance, Waiver, and Consent No. 2017053437701 (“AWC”) over allegations that between January 2011 and December 2015, Merrill Lynch violated NASD and FINRA rules for failing to maintain an adequate supervisory system and written procedures to monitor Unit Investment Trusts transactions. [read post]
28 Jun 2021, 5:43 am
In others, it may be possible to recover your losses through FINRA arbitration, as discussed above. [read post]
25 Jun 2021, 7:19 am
Who's Zooming Whom in FINRA Arbitration and Federal Court? [read post]
25 Jun 2021, 7:19 am
The SEC Says Sponsored Research Didn't Disclose It Was Paid For (BrokeAndBroker.com Blog)FINRA Sanctions Robinhood Financial LLCIn the Matter of Robinhood Financial LLC, Respondent (FINRA AWC)FINRA Bars Rep for Using Imposter for Regulatory Element CEFINRA Department of Enforcement, Complainant, v. [read post]
25 Jun 2021, 7:19 am
Attorney Announces Extradition And Guilty Plea Of Israeli Securities Trader For Participating In A Global Insider Trading Ring / Insider Trading Charges Are Also Unsealed Against a Second Israeli Trader for Participating in the Same Multimillion-Dollar Scheme (DOJ Release)SEC Charges Private Fund Manager, Consumer Credit Company, and Three Individuals with Fraudulently Raising Over $73 Million from Investors (SEC Release)SEC Charges Amec Foster Wheeler Limited With FCPA Violations Related To… [read post]
25 Jun 2021, 7:19 am
2017 FINRA Arbitration As set forth in the Syllabus to the SEC Opinion in In the Matter of the Application of Constantine Gus Cristo for Review of Action Taken by FINRA (SEC Opinion; '34 Act Rel. [read post]
25 Jun 2021, 7:01 am
With Bermuda-Based Entity in Liquidation, Investors’ Best Bet For Financial Recovery is to File FINRA Arbitration Claims Shepherd Smith Edwards and Kantas are investigating claims that Raymond James Financial Services marketed Northstar Financial Services (Bermuda) investments through the United Nations Federal Credit Union (UNFCU). [read post]
25 Jun 2021, 5:43 am
Filing a Claim with FINRA If you have suffered fraudulent investment losses, your attorney will file a claim with FINRA. [read post]
24 Jun 2021, 4:58 pm
Continue reading The post Broker Eric Burton, Formerly with LPL Financial LLC, Suspended by FINRA – Orland Park, IL appeared first on Securities Arbitration Lawyer Blog. [read post]
24 Jun 2021, 4:01 pm
FINRA Letter of Acceptance, Waiver, and Consent (“AWC”) Continue reading The post Spartan Capital Securities, LLC Broker Carlos Hurtado BARRED by FINRA – New York, NY appeared first on Securities Arbitration Lawyer Blog. [read post]
23 Jun 2021, 11:45 am
Potential Lawsuits to Recover Investment Losses When brokers violate securities laws, such as making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
23 Jun 2021, 7:41 am
More so than both FINRA and the customers themselves, it is actually the broker-dealer who is in the best position to both spot and put a stop to excessive trading. [read post]
