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6 Apr 2021, 9:02 am
Broker-Dealers Collectively Will Pay $550K Fine and Over $3.3M in Restitution The Financial Industry Regulatory Authority (FINRA) has fined and censured three brokerage firms after finding that they failed to supervise recommendations of the LJM Preservation and Growth Fund (LJMIX, LJMCX, LJMAX) and did not conduct the proper due diligence into the alternative mutual fund: Cambridge Investment Services will pay a $400K fine plus more than $3M in restitution Continue Reading… [read post]
6 Apr 2021, 7:57 am
The dispute is filed with FINRA and the customer is alleging to have suffered damages in the amount of $100,000. [read post]
6 Apr 2021, 7:57 am
The dispute is filed with FINRA and the customer is alleging to have suffered damages in the amount of $100,000. [read post]
6 Apr 2021, 7:08 am
FINRA Sanctions Credit Suisse Securities for Supervisory Issues According to a Letter of Acceptance Waiver and Consent posted on FINRA’s site on April 5, the regulator has censured and fined Credit Suisse Securities USA (CRD #816) $345,000 for supervisory issues. [read post]
6 Apr 2021, 6:27 am
Claims may be brought in securities arbitration before FINRA. [read post]
6 Apr 2021, 6:26 am
Claims may be brought in securities arbitration before FINRA. [read post]
5 Apr 2021, 11:35 am
Noyes & Company, a Financial Industry Regulatory Authority (FINRA) member firm, between July 2015 and April 2019. [read post]
5 Apr 2021, 11:35 am
Noyes & Company, a Financial Industry Regulatory Authority (FINRA) member firm, between July 2015 and April 2019. [read post]
5 Apr 2021, 7:01 am
Allegedly Unsuitable Recommendations Caused Senior Investor Loss of Savings A Brunswick, Georgia retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against broker-dealer MML Investors Services, LLC. [read post]
5 Apr 2021, 6:48 am
Silver Law Group is pursuing FINRA arbitration claims against many of these brokerage firms. [read post]
5 Apr 2021, 6:32 am
We have extensive experience recovering losses for investors through FINRA arbitration and in court. [read post]
5 Apr 2021, 6:23 am
Claims may be brought in securities arbitration before FINRA. [read post]
5 Apr 2021, 6:23 am
Claims may be brought in securities arbitration before FINRA. [read post]
4 Apr 2021, 12:00 pm
Claims may be brought in securities arbitration before FINRA. [read post]
4 Apr 2021, 12:00 pm
Claims may be brought in securities arbitration before FINRA. [read post]
4 Apr 2021, 7:48 am
His reply raises important interpretive issues that I hope that the SEC and FINRA will directly address. [read post]
4 Apr 2021, 3:00 am
A FINRA regulatory notice said: “[The ETFs] are highly complex financial instruments that are typically designed to achieve their stated objectives on a daily basis. [read post]
3 Apr 2021, 8:20 am
Mark Hopkins was also barred by FINRA in a regulatory action settled on May 15, 2019. [read post]
3 Apr 2021, 8:20 am
Mark Hopkins was also barred by FINRA in a regulatory action settled on May 15, 2019. [read post]
2 Apr 2021, 12:28 pm
FINRA has filed a complaint against former Advisory Group Equity Services Ltd. [read post]
