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23 Dec 2020, 11:21 am
Miller Stern Lawyers – 410-Law-Firm is currently investigating clients of Transamerica and all firms and broker dealers who may be victims of, and suffered damages and losses, due to abuses such as failure to supervise, breach of fiduciary duty, overcharging , and unauthorized trading. [read post]
23 Dec 2020, 11:06 am
If a brokerage firm unsuitably recommends an investment they can be held responsible for the losses in a FINRA arbitration claim. [read post]
22 Dec 2020, 10:02 am
FINRA has suspended financial advisor Rawad Roy Alame (CRD #5376696) from the securities industry for six months, fined $5,000, and ordered him to pay $2,700 to a former client. [read post]
22 Dec 2020, 9:43 am
December 16, 2020 Clients, Friends, Associates: As we prepare for a new year, we also reflect on an eventful, sometimes chaotic, 2020, dominated by the emergence of the novel coronavirus (“COVID-19”). [read post]
22 Dec 2020, 9:43 am
This is why the SEC and FINRA frequently promote diversification and asset allocation to protect against overconcentration in an investors account. [read post]
22 Dec 2020, 9:26 am
Finra also alleged Transamerica failed to detect when its reps recommended inappropriate high-fee variable annuity share classes. [read post]
22 Dec 2020, 9:26 am
Finra also alleged Transamerica failed to detect when its reps recommended inappropriate high-fee variable annuity share classes. [read post]
22 Dec 2020, 7:02 am
Former Santander Securities broker Hortensia Llavat has twenty-three pending customer complaints on her CRD, including three customer complaints filed in 2020 claiming over $250,000 in losses. [read post]
22 Dec 2020, 6:11 am
Merrill Lynch broker Hector J. [read post]
21 Dec 2020, 11:44 am
According to his FINRA BrokerCheck report, Teboe was reportedly affiliated with Cantella & Co. in Clinton, MI from July 2014 until February 2018. [read post]
21 Dec 2020, 9:46 am
FINRA has sanctioned Transamerica Financial Advisors, Inc. [read post]
21 Dec 2020, 3:49 am
FINRA Bars Californian Financial Advisor After Older Customers Suffer Huge Losses Cynthia Diane Cowden, a former NPB Financial Group stockbroker, has been barred by the Financial Industry Regulatory Authority (FINRA). [read post]
18 Dec 2020, 5:07 pm
FINRA has suspended financial advisor Michael Anthony Tavel (CRD #4862463) from the securities industry for 18 months and fined him $20,000. [read post]
18 Dec 2020, 10:15 am
We are pursuing these lawsuits in FINRA arbitration—a forum explicitly designated for investors who have fraud claims against their brokers and brokerage firms. [read post]
18 Dec 2020, 9:41 am
It's A Schottenstein Family Affair In FINRA Arbitration (BrokeAndBroker.com Blog)SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million (SEC Release)Former registered broker admits to involvement in options trading scheme (DOJ Release)SEC Charges Former Day Trader with Market Manipulation Scheme (SEC Release)... [read post]
18 Dec 2020, 9:41 am
FINRA Sanctions Transamerica Financial Advisors, Inc. $8.8 Million for Supervisory Violations Related to Variable Annuities, Mutual Funds and 529 Plans / Firm Ordered to Pay $4.4 Million in Restitution to Approximately 2,400 Affected Customers (FINRA Release)Federal Court Affirms Merrill Lynch Victory in Nigerian Discrimination Case (BrokeAndBroker.com Blog)SEC Charges Company and CEO for $119 Million Securities Fraud Targeting Members of the South Asian American Community (SEC… [read post]
18 Dec 2020, 8:55 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
17 Dec 2020, 8:59 pm
SunTrust and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on May 18, 2020, over allegations that between January 2015 and January 2018, SunTrust violated FINRA rules. [read post]
17 Dec 2020, 2:56 pm
Due to what is now known about how UBS misled investors, many investors have already filed claims against UBS in FINRA arbitration. [read post]
17 Dec 2020, 12:19 pm
FINRA Censures and Fines Cetera for Alleged Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 15, The Financial Industry Regulatory Authority (FINRA) has sanctioned 3 Cetera Firms over alleged deficiencies in supervising dually-registered representatives (DRRs). [read post]
