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25 Apr 2014, 12:54 pm
I blogged yesterday (here) about FINRA’s Board of Governors’ Decision finding that Schwab violated FINRA’s rules by inserting a class action waiver in the PDAA in its customer agreement. [read post]
3 Jun 2011, 3:18 pm
FINRA also said that Lerner Associates failed to practice due diligence with the company managing its real estate funds. [read post]
28 Jun 2012, 9:47 pm
According to FINRA’s findings, Merrill Lynch failed to provide an adequate supervisory system from April 2003 to December 2011. [read post]
2 Aug 2012, 10:03 pm
Stock fraud lawyers encourage investors to read the Financial Industry Regulatory Authority (FINRA)’s new Investor Alert, which was announced on July 10. [read post]
15 Aug 2012, 4:03 am
FINRA?) [read post]
29 Apr 2015, 4:38 am
As reported in "FINRA Named As Defendant In Case Alleging Altered Electronic Files" (BrokeAndBroker.com Blog, April 24, 2015), in Thaddeus J. [read post]
25 Sep 2023, 7:45 am
Benjamin, a Former Raymond James Financial Advisor, Faces FINRA Investigation Over Customer Complaint appeared first on Securities Fraud Lawyers Blog. [read post]
25 Feb 2011, 10:15 am
If the willfulness findings are upheld on appeal, I believe that the firm will be required to file an MC-400 application with FINRA, seeking permission to continue in business as a member broker-dealer regardless of the willfull violations, and receive the OK from both FINRA and the SEC to do so. [read post]
7 May 2010, 10:43 am
FINRA Fines Five Firms $385,000 for Sale of Unregistered Securities, Other Violations Relating to Penny Stocks Together, the Firms Sold 7.5 Billion Shares of Unregistered Universal Express Stock; Fagenson andamp; Co. [read post]
13 Aug 2018, 2:08 pm
A FINRA arbitration panel ordered Windsor Street Capital, to pay two customers more than $1.3 million in compensatory damages, interest, punitive damages of over $3,000,000, attorneys fees in the amount of $552,321 and sanctions in the amount of $44,450 for churning customer accounts. [read post]
17 Jan 2013, 1:41 pm
FINRA Dispute Resolution announced yesterday that it will launch a pilot program to offer pro bono or reduced-fee telephonic mediation to parties whose dispute has a dollar value $50,000 or less. [read post]
6 Aug 2013, 1:27 pm
The foregoing information, which is publicly available on FINRA’s website is being provided by The White Law Group, LLC. [read post]
4 Mar 2014, 9:33 am
White’s clients are individuals who have been defrauded by their investment professional or brokerage firm and he has handled over 400 FINRA arbitration cases on behalf of investors, including handling claims against most of the FINRA registered broker-dealers. [read post]
6 Feb 2015, 7:22 am
FINRA alleged that in 2007, a WFG broker by the initials “SGD” provided notice to the firm that he intended to sell a private placement offering FINRA called “ATMA” to his customers. [read post]
1 Jan 2015, 5:48 am
In recent months FINRA has brought numerous disciplinary actions against various firms, supervisors, and brokers concerning the improper sale of GWG Debentures including: Center Street Securities Broker David Escarcega Investigated Over GWG Debenture Sales; FINRA Sanctions Michael Wurdinger and Anil Vazirani Over GWG Debenture Sales (FINRA sanctioned brokers associated with Center Street Securities, Inc.); FINRA Sanctions Center Street Securities Over Sales of GWG… [read post]
29 Jun 2020, 7:11 am
Many clients are asking whether FINRA arbitration claims can be brought against a bank and/or its employees for losses sustained in their investment accounts. [read post]
10 Jul 2017, 6:57 am
According to BrokerCheck records Brian Murphy (Murphy) has been sanctioned and barred by The Financial Industry Regulatory Authority (FINRA) over allegations that the broker failed to respond to the regulator’s requests for information. [read post]
30 Aug 2018, 11:35 am
Before being barred from acting as a broker by FINRA, Steve Pagartanis (CRD#1958879) was most recently a registered broker with Lombard Securities Incorporated. [read post]
18 Aug 2022, 5:29 am
SEC, August 16, 2022, Wilkins, R.).FINRA's proposal. [read post]
12 May 2014, 1:54 pm
The Financial Industry Regulatory Authority (FINRA) announced approval of amendments to FINRA’s supervision rule that would expand the obligations of brokerage firms to check the background of applicant brokers upon registration. [read post]
