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3 May 2021, 1:54 pm
FINRA Department Of Enforcement Filed Disciplinary Proceeding Related To Patatian’s Securities Sales Practices FINRA’s Department of Enforcement filed a Complaint against Patatian on February 26, 2021. [read post]
3 May 2021, 6:54 am
Claimant Suffered Significant Losses in Non-Traded Oil and Gas Investment An investor recently filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against the brokerage firm, David Lerner Associates for losses he sustained in the Energy 11, LP, an oil and gas private placement that many of the firm’s brokers have sold exclusively to customers. [read post]
3 May 2021, 3:03 am
As it turns out, FINRA doesn’t want the responsibility either. [read post]
2 May 2021, 9:05 pm
The Financial Industry Regulatory Authority’s (FINRA) current exam priorities are more explicit. [read post]
30 Apr 2021, 9:00 am
Broker Kevin Barton Suspended by FINRA – Vista, California appeared first on Securities Arbitration Lawyer Blog. [read post]
30 Apr 2021, 7:27 am
The FINRA panel reportedly denied the expungement request, but ordered Morgan Stanley and Shapira to pay only $782,278.90 in compensatory damages, according to the FINRA document. [read post]
30 Apr 2021, 7:20 am
FINRA has barred Kayan Securities, Inc. broker Sun Hyung Kim from the securities industry. [read post]
30 Apr 2021, 3:58 am
Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)Owner of Currency Exchange House Pleads Guilty to Intentionally Violating Anti-Money Laundering Laws (DOJ Release)Financial Advisor Sentenced to More Than 13 Years in Prison for Swindling Investors Out of $5.1 Million (DOJ Release)Fugitive Guatemalan Man Indicted for Wire Fraud (DOJ Release)The Elderly Customer, The Will, The Stockbroker, The Complaining Brother, And The Post-Mortem Wires and Checks… [read post]
30 Apr 2021, 3:58 am
Former Raymond James Rep Wins One and Loses One in Employment Disputes (BrokeAndBroker.com Blog)Charlotte Woman And Her Co-Conspirator Are Sentenced To Prison For Stealing $300,000 From An Elderly, Dementia-Afflicted Victim (DOJ Release)Defendant in Scheme to Steal Digital Currency and Social Media Accounts Pleads Guilty and is Sentenced to Two Years in Federal Prison (DOJ Release)Raymond James Stuck With Unappealing FINRA Arbitration (BrokeAndBroker.com Blog)The Elderly Customer, The… [read post]
30 Apr 2021, 3:58 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, G... [read post]
29 Apr 2021, 1:55 pm
The notice asks for commenters to identify any FINRA rules or regulations which might be having a disparate impact... [read post]
29 Apr 2021, 10:35 am
FINRA also fined Mr. [read post]
29 Apr 2021, 10:02 am
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker David Martirosian from the securities industry. [read post]
28 Apr 2021, 7:38 am
Central American Retiree Worked with Louisiana-based Financial Advisor Robin Platt In his Financial Industry Regulatory Authority (FINRA) arbitration claim against Hancock Whitney Investment Services, Inc., a senior investor in Central America is seeking up to $5M in damages. [read post]
28 Apr 2021, 7:37 am
For FINRA’s full findings see FINRA case #2019063251701. [read post]
28 Apr 2021, 6:35 am
For FINRA’s full findings see, FINRA Case #2019063574801. [read post]
28 Apr 2021, 5:29 am
FINRA cancelled the firm’s license in February 2019 for failure to pay arbitration fees. [read post]
27 Apr 2021, 1:39 pm
Under FINRA Rules, all investors are entitled to a balanced presentation of any investment recommendation made to them, according to investment fraud attorney Jake Zamansky. [read post]
27 Apr 2021, 9:45 am
The Financial Industry Regulatory Authority (FINRA) issued a statement, in which the organization characterized Mr. [read post]
27 Apr 2021, 9:45 am
The Financial Industry Regulatory Authority (FINRA) issued a statement, in which the organization characterized Mr. [read post]
