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31 Mar 2021, 9:30 am
A recent case illustrates the worst aspects of this process.Case In PointIn a FINRA Arbitration Statement of Claim filed in June 2020, associated person Claimant Bobolia sought the expungement of his Central Registration Depository records ("CRD"). [read post]
31 Mar 2021, 9:30 am
Your firm's compliance department or FINRA says what you did or didn't do was a violation. [read post]
31 Mar 2021, 9:16 am
The FINRA Letters of Acceptance, Waiver & Consent (AWCs) announcing the sanctions are accessible here. [read post]
31 Mar 2021, 7:47 am
Multiple government agencies, including the SEC and FINRA, oversee different parts of the market and do their best to prevent fraud. [read post]
30 Mar 2021, 1:02 pm
This matter involves inverse floaters and according to FINRA, inverse floaters are only suitable for sophisticated investors with a high-risk profile. [read post]
30 Mar 2021, 12:19 pm
In some cases, firms presented with activity in low-priced securities that also included one or more red flags reflected in a prior risk alert and FINRA notice still did not review the activity and follow up to consider filing SARs. [read post]
30 Mar 2021, 12:18 pm
The Financial Industry Regulatory Authority (“FINRA”) has Securities America, Inc. [read post]
30 Mar 2021, 11:48 am
On March 18, 2021, FINRA and J.W. [read post]
30 Mar 2021, 11:39 am
This matter stems from FINRA’s 2019 investigation of firms that sold LJM to retail customers, according to the AWC. [read post]
30 Mar 2021, 11:02 am
The Financial Industry Regulatory Authority (“FINRA”) has sanctioned Cambridge Investment Research, Inc. [read post]
30 Mar 2021, 10:50 am
This matter stems from FINRA’s 2019 investigation of firms that sold LJM to retail customers, according to the AWC. [read post]
30 Mar 2021, 9:39 am
This matter reportedly originated from FINRA’s 2019 investigation of firms that sold LJM to retail customers, according to the AWC. [read post]
29 Mar 2021, 2:17 pm
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses through FINRA Arbitration. [read post]
29 Mar 2021, 2:02 pm
Unsuitable investment advice is one of the most common complaints customers make against their brokers or advisers in FINRA arbitration claims. [read post]
29 Mar 2021, 1:19 pm
It is prohibited under federal law and FINRA regulations; and, when brokers engage in excessive trading, investors can – and should – seek help from a stockbroker fraud lawyer to recover their investment losses. 5 Red Flags for Excessive Trading While excessive trading can be difficult to identify, especially for novice investors, there are several red flags that can suggest inappropriate activity. [read post]
29 Mar 2021, 12:53 pm
Hill Securities, LLP, BARRED by FINRA appeared first on Securities Arbitration Lawyer Blog. [read post]
29 Mar 2021, 12:04 pm
FINRA accepted an Offer of Settlement submitted by Mr. [read post]
29 Mar 2021, 9:55 am
FINRA expelled Mr. [read post]
26 Mar 2021, 12:36 pm
For FINRA’s full findings, see FINRA case NO. 2017054432701. [read post]
26 Mar 2021, 12:00 pm
FINRA has suspended former RBC Capital Markets broker Jeffrey Fladell from associating with any FINRA member for three months over unsuitable recommendations he made to a retired senior over 100 years old, which resulted in her extreme overconcentration in high-yield municipal bonds. [read post]
