Search for: "Finra"
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28 Dec 2020, 1:55 pm
Upon acceptance by FINRA on 9/3/2020, Ianace is barred indefinitely and in all capacities from any association with FINRA brokers. [read post]
28 Dec 2020, 1:24 pm
After declining to assist with FINRA’s investigation, FINRA issued sanctions which include an indefinite bar from any association with an associated firm. [read post]
28 Dec 2020, 12:12 pm
New FINRA Arbitration Claim Seeks $260K in Damages Former Wells Fargo Clearing Services (WRET) broker Herbert Lee Weith IV is named in yet another customer dispute in which the claimant is seeking damages for losses involving variable annuities. [read post]
28 Dec 2020, 10:59 am
For Finra’s full findings see FINRA Case # 202006822610. [read post]
28 Dec 2020, 10:48 am
” For Finra’s full findings see FINRA Case #2019064942101. [read post]
28 Dec 2020, 8:16 am
FINRA requires that financial advisors only recommend investments that are suitable for their customers. [read post]
28 Dec 2020, 8:13 am
FINRA has suspended financial advisor Jamie I. [read post]
27 Dec 2020, 12:49 pm
Most securities arbitrations take place using FINRA’s Dispute Resolution Services’ arbitration forum because, as FINRA members, financial advisors and brokerage firms are required to arbitrate customer complaints upon the filing of a claim through FINRA. [read post]
26 Dec 2020, 11:27 am
Finra hits Transamerica with $8.8 million sanction - InvestmentNews* This article was originally published here [read post]
24 Dec 2020, 3:00 pm
If you see an unusually high number of trades in your account, if your broker’s or advisor’s fees are eating into your returns, or if multiple trades in your account have resulted in losses, this could potentially support a claim for recovery in FINRA arbitration. 6. [read post]
24 Dec 2020, 7:21 am
Our attorneys represent SEC whistleblowers at the SEC and in employment disputes through the courts or FINRA arbitration. [read post]
24 Dec 2020, 3:37 am
Coronavirus Impact on Arbitration Hearings (FINRA Release)Ticketmaster Pays $10 Million Criminal Fine for Intrusions into Competitor's Computer Systems / Ticketmaster Used Passwords Unlawfully Retained by a Former Employee of a Competitor to Access Computer Systems in Scheme to "Choke Off" the Victim's Business (DOJ Release)Jewelry Wholesaler Pleads Guilty in $200 Million Ponzi Scheme / Defendant Falsely Promised High Rates of Return for Investments in Wholesale Jewelry… [read post]
24 Dec 2020, 3:37 am
Moving the Goal Line In a FINRA Expungement Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5608/finra-jethmal-expungement/We're in a high-stakes football game. [read post]
24 Dec 2020, 3:37 am
Last Dance for FINRA's Zipper? [read post]
24 Dec 2020, 3:37 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5614/securities-industry-commentator/Coronavirus Impact on Arbitration Hearings (FINRA Release)Ticketmaster Pays $10 Million Criminal Fine for Intrusions into Competitor’s Computer Systems / Ticketmaster Used Passwords Unlawfully Retained by a Former Employee of a Competitor to Access Computer Systems in Scheme to "Choke Off" the… [read post]
24 Dec 2020, 3:37 am
District Court Enters Permanent Injunction Shutting Down Technical-Support Fraud Scheme (DOJ Release)SEC Charges Long Island City Man with Trading and Tipping Others as Part of Insider Trading Scheme (SEC Release)Public Petitions for Rulemaking: Request to adopt amendments to rules applicable to SPAC IPOs to permit SPACs to conduct public offerings on a best-efforts basis (SEC Release)Moving the Goal Line In a FINRA Expungement Arbitration (BrokeAndBroker.com Blog)District Court Enters… [read post]
24 Dec 2020, 3:37 am
8Cir Asserts FINRA Enforces its Regulatory Rules Through Its Arbitration ForumGary Luis; Caryl Luis; Gary A. [read post]
23 Dec 2020, 6:41 pm
On December 22, 2022, a FINRA Dispute Resolution Services arbitration panel in Boca Raton, Florida, ordered UBS Financial Services, Inc. to pay a customer $89,675 in compensatory damages. [read post]
23 Dec 2020, 1:17 pm
The dispute was filed before FINRA in Denver, Colorado. [read post]
23 Dec 2020, 1:17 pm
The dispute was filed before FINRA in Denver, Colorado. [read post]
