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29 Sep 2010, 10:26 pm
Over two years ago, I wrote about a pilot program FINRA established to test all-public arbitration panels. [read post]
18 Jan 2021, 8:45 am
As of 3/22/09, FINRA barred Matthes indefinitely in all capacities from any association with FINRA members. [read post]
21 Feb 2018, 11:46 am
FINRA award claims firm and broker Christopher D. [read post]
20 Dec 2013, 6:57 am
FINRA’s 2009 examination of the firm uncovered a number of serious problems in connection with this program. [read post]
18 May 2016, 10:09 am
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
8 Nov 2018, 9:33 am
The post FINRA Awards former Credit Suisse Broker $975,530 appeared first on White Securities Law. [read post]
8 Nov 2018, 9:33 am
The post FINRA Awards former Credit Suisse Broker $975,530 appeared first on White Securities Law. [read post]
2 Sep 2015, 1:59 pm
UBS ordered to pay $2.9 million in another FINRA arbitration claim. [read post]
14 Aug 2017, 12:51 pm
Kohn & Associates, Ltd. was elected as the 2017 FINRA Small Firm Governor. [read post]
29 Oct 2012, 10:48 am
FINRA?) [read post]
6 Oct 2011, 7:38 am
FINRA v. [read post]
13 Oct 2021, 8:45 am
He failed to disclose that he was, in fact, prohibited from affiliation with any FINRA member. [read post]
21 Mar 2016, 3:25 pm
The majority of FINRA arbitration claims are resolved before going to hearing. [read post]
30 Dec 2009, 5:16 pm
FINRA issued a regulatory notice this month to remind brokerage firms of their sales practice obligations relating to the sale of principal protected notes. [read post]
30 Dec 2009, 5:16 pm
FINRA issued a regulatory notice this month to remind brokerage firms of their sales practice obligations relating to the sale of principal protected notes. [read post]
5 May 2017, 11:23 am
FINRA’s recent release of Regulatory Notice 17-18 may help to remedy that problem, however. [read post]
20 Mar 2016, 7:25 am
(Ameriprise) broker William Marshall (Marshall) (FINRA No. 2012033291204) and his supervisor John J. [read post]
22 Feb 2019, 8:28 am
FINRA has released its latest arbitration statistics, showing 4,325 cases filed in 2018, 63% of them customer cases, 38 % industry disputes with a 15 month average time frame, start to finish.A continued interesting statistic is the fact that only 14% of the cases were resolved after a hearing, with 67% being resolved in mediation or by direct settlement between the parties.Customers continue to win 40% of the cases that go to hearing. [read post]
17 May 2017, 4:51 am
Dawn Deshean Davenport (CRD #6280800) Chicago, Illinois
(February 13, 2017) FINRA Case #2015047703701 Davenport voluntarily resigned while under internal review at J. [read post]
17 Jan 2012, 7:03 am
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
