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23 Jun 2021, 7:28 am
Non-Traded REIT Seeks To Restructure $1.3B in Unsecured Debt If you are an investor whose broker recommended that you invest in Hospitality Investors Trust (HIT), you may have grounds for a Financial Industry Regulatory Authority (FINRA) arbitration claim to recover damages. [read post]
23 Jun 2021, 5:36 am
Who Can File for FINRA Arbitration? [read post]
22 Jun 2021, 9:21 am
The Financial Industry Regulatory Authority (“FINRA”) and Farmers Financial Solutions, LLC (“Farmers Financial”) entered into a Letter of Acceptance, Waiver, and Consent No. 2017052173001 on June 21, 2021, after FINRA alleged supervisory failures related to variable universal life insurance contracts (“VUL”) and mutual fund businesses. [read post]
22 Jun 2021, 8:56 am
’s recent Focus Report to the Securities and Exchange Commission (SEC), the firm is contending with four pending Financial Industry Regulatory Authority (FINRA) arbitration claims from customers alleging damages of approximately $4.5M. [read post]
22 Jun 2021, 7:37 am
Additionally, FINRA alleged that during the same period, Mr. [read post]
21 Jun 2021, 3:14 pm
A FINRA arbitrator in Jackson, Mississippi, has found E*Trade Securities LLC liable for failing to execute a trade properly and ordered the online brokerage firm to pay its customer over $31,000 (the “Award”). [read post]
21 Jun 2021, 12:36 pm
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]
20 Jun 2021, 6:40 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
19 Jun 2021, 6:16 am
Continue reading The post Broker John Braddock, Formerly with Lakeridge Capital Inc., Suspended by FINRA – Salida, CO appeared first on Securities Arbitration Lawyer Blog. [read post]
19 Jun 2021, 5:26 am
Continue reading The post Popular Securities, LLC Broker Dennis Cummings Suspended by FINRA – Mayaguez, PR appeared first on Securities Arbitration Lawyer Blog. [read post]
18 Jun 2021, 11:54 am
Giovannelli attempted to conceal the unauthorized trades from FINRA and testified falsely at his on-the-record interview. [read post]
18 Jun 2021, 10:36 am
Lippman consented to the bar after FINRA alleged that he provided false information to FINRA during on-the-record testimony regarding whether he was aware that his customer was deceased at the time of entering a securities transaction in the customer’s account. [read post]
18 Jun 2021, 5:32 am
Fraudulent nondisclosure is a common form of investment fraud, and it is one for which investors can pursue FINRA arbitration claims in many cases. [read post]
17 Jun 2021, 11:28 am
FINRA’s Department of Enforcement has filed a Complaint against former Allstate Financial Services, LLC broker Elizabeth Ann Sollars for failing to provide information and documents, and for failing to appear and provide testimony to FINRA pursuant to FINRA Rule 8210. [read post]
17 Jun 2021, 7:26 am
They must ensure they are complying with FINRA rules. [read post]
17 Jun 2021, 6:48 am
Additionally, Niekamp loaned money to a firm customer in violation of the firm’s written supervisory procedures and FINRA rules. [read post]
17 Jun 2021, 3:25 am
FINRA Fines and Suspends Rep for Undisclosed Bankruptcy in PPM (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5916/finra-awc-bankruptcy/If you run afoul of FINRA, you may be given the opportunity to enter into a regulatory settlement without admitting or denying the facts. [read post]
17 Jun 2021, 3:25 am
FINRA Alerts Firms to Phishing Email From "FINRA Support" from the Domain Name "westour.org" (FINRA Regulatory Notice)Former Chief Operating Officer of Philadelphia Technology Start-Up Charged with Securities Fraud and Embezzlement (DOJ Release) SEC Charges Former Company Executive with Defrauding Investors (SEC Release)CEO of Limited Liability Company Sentenced to 30 Months in Prison for Wire Fraud (DOJ Release)SEC Obtains Final Judgment Against Former… [read post]
17 Jun 2021, 3:25 am
Roisman to the National Investor Relations Institute /2021 Virtual Conference)FINRA Fines and Suspends Rep for Using Correction FluidIn the Matter of Robert Brandon Prettyman, Respondent (FINRA AWC)FINRA Fines and Suspends Rep for Falsifying 22 Variable Annuities FormsIn the Matter of Eric P. [read post]
17 Jun 2021, 3:25 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5913/securities-industry-commentator/FINRA Alerts Firms to Phishing Email From "FINRA Support" from the Domain Name "westour.org" (FINRA Regulatory Notice)Former Chief Operating Officer of Philadelphia Technology Start-Up Charged with Securities Fraud and Embezzlement (DOJ Release)SEC Charges Former Company… [read post]
