Search for: "National Association Of Securities Dealers, Inc."
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19 Aug 2022, 8:54 am
In 2013, FINRA announced in a regulatory notice that the scope of Rule 8210 had been clarified, stating that “all aspects of the relationship between a broker-dealer and its associated persons are potentially the subject of a Rule 8210 request. [read post]
11 Apr 2013, 11:08 am
The SEC alleges in the Order that from at least December 2009 through March 2011, while associated with an investment adviser and broker-dealer registered with the SEC, Richard P. [read post]
14 Oct 2011, 12:51 pm
FINRA accepted the AWC on Sept. 29 FINRA found that Raymond James failed to establish and maintain a supervisory system designed to achieve compliance with a conduct rule of the National Association of Securities Dealers, or NASD, concerning fair prices and commissions. [read post]
29 Apr 2016, 2:20 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 1:39 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 1:32 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 12:30 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 12:23 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
29 Apr 2016, 12:36 pm
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
24 Mar 2021, 12:38 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
20 Aug 2018, 1:40 pm
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, or Fined by FINRANewport Coast Securities, Inc. and Douglas Anthony Leone The firm appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
20 Dec 2019, 9:58 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
31 May 2024, 11:49 am
Merrill Lynch, Pierce, Fenner & Smith Inc. [read post]
7 Oct 2011, 4:03 pm
In 2000, a panel of the National Association of Securities Dealers andndash; FINRAandrsquo;s predecessor -- found that Fiero Bros., a registered broker-dealer, had engaged in market manipulation and illegal short selling. [read post]
6 Sep 2023, 9:20 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
12 Jun 2012, 9:22 am
” Furthermore, Kelly also points out a May 2011 “complaint” brought against David Lerner Associates Inc., a broker-dealer firm, by the Financial Industry Regulatory Authority Inc. [read post]
21 Oct 2011, 2:03 pm
Simoneand#39;s conduct violated National Association of Securities Dealers Conduct Rule 2110 and IM-1000-1 for Willful Failure to Disclose Material Information on a Form U4, and FINRA Rule 2010 on Standards of Commercial Honor and Principles of Trade. [read post]
17 Apr 2010, 5:00 am
Mar. 1, 2010), Standard Investment Chartered, Inc., (“Standard”) and Benchmark Financial Services (“Benchmark”), allege officials in the National Association of Securities Dealers (“NASD”) made material misrepresentations in the proxy statement for the consolidation of NASD & the regulatory division of NYSE into FINRA. [read post]
11 Sep 2019, 7:48 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
20 Jan 2017, 6:22 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
