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24 Feb 2021, 10:45 am
Schram is no longer associated with any FINRA member but remains subject to FINRA’s jurisdiction. [read post]
24 Feb 2021, 7:33 am
This procedure was implemented by FINRA to ensure the protection of investors in the financial markets. [read post]
24 Feb 2021, 7:33 am
This procedure was implemented by FINRA to ensure the protection of investors in the financial markets. [read post]
24 Feb 2021, 7:02 am
On behalf of a client, securities arbitration law firm Iorio Altamirano LLP has filed an arbitration claim through FINRA Dispute Resolution Services against David Lerner Associates Inc. [read post]
24 Feb 2021, 6:00 am
In sum, FINRA looks like it is planning a busy year, meaning member firms will be even more busy. [read post]
24 Feb 2021, 5:51 am
Behind the Process: How an Enforcement Action Becomes an Enforcement Action http://feeds.finra.org/~r/FINRACompliancePodcast/~3/5DGNUTQ9CVY/behind-the-process-how-an-enforcement-action-becomes-an-enforcement-action-o4hRIxlR #seclaw#securitieslawyer [read post]
24 Feb 2021, 5:42 am
The FINRA settlement cited Transamerica’s failure to monitor transactions that involved clients switching from other investments to annuities, which generated millions in commissions and fees for the firms. [read post]
23 Feb 2021, 11:38 am
Worden Capital Management LLC (CRD# 148366), a FINRA-registered brokerage firm, was sanctioned $1.5 million by FINRA to settle findings that the firm churned (excessively traded) customer accounts. [read post]
23 Feb 2021, 7:43 am
Ex-New York Stockbroker Named In Multiple Customer Disputes Apostolos Nicolas Pitsironis, a former-Janney Montgomery Scott registered representative who was barred by the Financial Industry Regulatory Authority (FINRA) in 2019 for allegedly defrauding investors, was arrested on February 10 in Dix Hills, New York in a parallel criminal fraud case. [read post]
23 Feb 2021, 5:38 am
GMS and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on February 5, 2021, over the following findings: Continue reading The post Investor Alert: Iorio Altamirano LLP Investigates The GMS Group LLC Over Fair Pricing and Supervisory Violations appeared first on Securities Arbitration Lawyer Blog. [read post]
22 Feb 2021, 7:44 am
FINRA Arbitration Claim Seeks $250K in Damages, Possibly Involving Energy 11 LP An investor has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim naming David Lerner Associate, Glenn Howard Werner. [read post]
22 Feb 2021, 6:33 am
Claims may be brought in securities arbitration before FINRA. [read post]
22 Feb 2021, 6:31 am
Claims may be brought in securities arbitration before FINRA. [read post]
21 Feb 2021, 4:33 pm
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology http://feeds.finra.org/~r/FINRACompliancePodcast/~3/T5LFP9NeAAA/encore-augmenting-the-exam-and-risk-monitoring-program-with-data-analytics-and-technology-aZPruHLf #seclaw#securitieslawyer [read post]
19 Feb 2021, 4:58 pm
” FINRA and the U.S. [read post]
19 Feb 2021, 1:06 pm
For FINRA’s full findings see FINRA Case NO. 2020066246901. [read post]
19 Feb 2021, 12:44 pm
The Financial Industry Regulatory Authority (“FINRA”) has barred broker Scott Wayne Reed from the securities industry over allegations that Mr. [read post]
19 Feb 2021, 11:25 am
” The AWC indicates that Delahunt failed to respond to FINRA’s inquiry, in violation of FINRA Rules. [read post]
19 Feb 2021, 10:17 am
If a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they may be found liable for investment losses in a FINRA arbitration claim. [read post]
19 Feb 2021, 8:33 am
Fahsholtz’s FINRA BrokerCheck Report, published by the Financial Industry Regulatory Authority (“FINRA”) indicates that he is the subject of five pending securities arbitration claims, and that three other disputes lodged against Fahsholtz have been settled. [read post]
