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26 Mar 2021, 11:56 am
He was registered again with Morgan Stanley in Mclean, VA from 2011 until July 2019 when he was discharged for “allegations of misappropriation of client funds,” according to his FINRA Broker Profile. [read post]
26 Mar 2021, 11:03 am
State regulatory bodies require registration as well as the Financial Industry Regulatory Authority (FINRA), a regulatory arm of the Securities and Exchange Commission (SEC) in charge of, among other things, licensing broker-dealers. [read post]
26 Mar 2021, 10:32 am
Also a former registered investment advisor, he has 13 disclosures on his BrokerCheck, including bars from the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) in 2019 and 2020, respectively. [read post]
26 Mar 2021, 7:37 am
On February 5, the exchanges filed a motion with the Commission to stay the effect of the MDI rule pending final resolution of their petitions for review challenging the SEC’s order directing exchanges and FINRA to submit a new Regulation NMS plan on consolidated equity market data (the NMS Governance Order) as well as the SEC’s approval of the new consolidated data plan filed in response to the NMS Governance Order. [read post]
25 Mar 2021, 12:24 pm
He reportedly has three complaints filed against him, according to FINRA. [read post]
25 Mar 2021, 9:15 am
We represent investors in FINRA arbitration claims in all 50 states, including New Jersey. [read post]
25 Mar 2021, 9:07 am
FINRA also fined Mr. $15,000 and ordered him to complete five hours of training. [read post]
25 Mar 2021, 7:22 am
Under Financial Industry Regulatory Authority’s (FINRA) rules, whenever broker-dealers, registered investment advisers, or issuers of securities (FINRA member) terminate the employment of a FINRA-registered representative, including a licensed broker or financial advisor (an associated person) the member firm must file a Form U5 (the Uniform Termination Notice for Securities Industry Registration). [read post]
25 Mar 2021, 7:07 am
The Financial Industry Regulatory Authority (FINRA), barred Boggs in January in 2019 after he reportedly failed to answer requests for information in FINRA’s investigation. [read post]
25 Mar 2021, 4:03 am
First Circuit Remands NY Life Racism Case to FINRA Arbitration (BrokeAndBroker.com Blog)Queens Man Pleads Guilty to Securities Fraud Conspiracy / Defendant Stole Hundreds of Thousands of Dollars From Victims By Falsely Promising to Invest Their Funds in his Foreign Exchange Trading Firm (DOJ Release)Former Princeton Resident Charged in Connection with Multimillion-Dollar Schemes Involving Securities Fraud, Credit Card Fraud, and Business E-Mail Compromise Fraud (DOJ Release)SEC Charges… [read post]
25 Mar 2021, 4:03 am
Fourteen-year veteran New York Life employee Ketler Bosse was the company's first African-American District Agent. [read post]
25 Mar 2021, 4:03 am
/ The Pros and Cons of Going Independent by Michael King of Michael King Associates (BrokeAndBroker.com Blog)Whoops: Schwab Sues Former Customer It Accidentally Sent $1.2 Million (Advisor Hub by Jake Martin)FINRA: Firms Failed to Supervise Alt Mutual Fund Sales / Cambridge Investment Research, Securities America and J.W. [read post]
25 Mar 2021, 4:03 am
First Circuit Remands NY Life Racism Case to FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5774/finra-arbitration-racism/Fourteen-year veteran New York Life employee Ketler Bosse was the company's first African-American District Agent. [read post]
25 Mar 2021, 4:03 am
The Great FINRA Hand Sanitizer Caper!!! [read post]
25 Mar 2021, 4:03 am
When An Undisclosed Settlement Gets Disclosed to FINRA (BrokeAndBroker.com Blog)Two Florida Men and Baltimore Woman Facing Federal Indictment in Maryland for Nationwide Scheme That Allegedly Defrauded at Least 70 Elderly Victims of More Than $1.5 Million / Allegedly Part of an International "Grandparent Fraud" Scheme Where They Collected More Than $1.5 Million in Cash Payments by Falsely Telling Victims that a Relative—Typically a Grandchild—Needed Money for Bail, Legal… [read post]
25 Mar 2021, 4:03 am
In the midst of a pandemic, FINRA got out its hammer and its tongs, and went after a Respondent, who had decided not to invest in a company and prepared to engage in a business that never materialized. [read post]
24 Mar 2021, 6:29 pm
FINRA also fined Mr. [read post]
24 Mar 2021, 8:04 am
Year in Review: The 2020 Exam and Risk Monitoring Program http://feeds.finra.org/~r/FINRACompliancePodcast/~3/ZT_Yl82n0tw/year-in-review-the-2020-exam-and-risk-monitoring-program-JcZ_yyzh ##seclaw----- Coast-to-coast representation of investors and financial professionals - Securities Lawyer [read post]
24 Mar 2021, 7:33 am
FINRA also fined Mr. [read post]
24 Mar 2021, 5:18 am
The FINRA report shows that this dispute is listed as an arbitration filed with FINRA and is seeking alleged customer damages totaling $500,000. [read post]
