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14 Dec 2020, 3:59 am
“In this legal malpractice action, defendants, through their expert’s affidavit, established prima facie entitlement to judgment as a matter of law by demonstrating that plaintiff could not prove that, but for their alleged negligence, he would have been awarded a greater recovery in an underlying FINRA (Financial Industry Regulatory Authority) litigation (see Nomura Asset Capital Corp. [read post]
12 Dec 2020, 7:45 am
According to a FINRA Acceptance, Waiver, and Consent (AWC) signed by Mr. [read post]
11 Dec 2020, 12:49 pm
UBS broker Dario Suarez has twenty-three pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1.3 million in claimed losses. [read post]
11 Dec 2020, 12:41 pm
Former UBS broker Robert Lapetina has seventeen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1.3 million in claimed losses. [read post]
11 Dec 2020, 12:27 pm
Former UBS broker Miguel Pascual has five pending customer complaints on his CRD, including two customer complaints filed in 2020, totaling over $3 million in claimed losses. [read post]
11 Dec 2020, 12:06 pm
UBS broker Angel Canabal has seventeen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $1 million in claimed losses. [read post]
11 Dec 2020, 11:16 am
According to FINRA, Infinity did not contact its applicants’ former employers. [read post]
11 Dec 2020, 9:36 am
FINRA Suspended New York Broker After Senior Investor Lost More Than $69K Mack Leon Miller, a Spartan Capital Securities broker in New York, was suspended by the Financial Industry Regulatory Authority (FINRA) earlier this year. [read post]
11 Dec 2020, 8:11 am
UBS broker Jose David Mendez has fifteen pending customer complaints on his CRD, including three customer complaints filed in 2020, totaling over $4 million in claimed losses. [read post]
11 Dec 2020, 7:29 am
"I was heartened to see the OCC take a lead on this issue, and I encourage the SEC and FINRA to follow suit. [read post]
11 Dec 2020, 7:08 am
Shinn, Respondent (FINRA AWC)... [read post]
11 Dec 2020, 7:08 am
Lebenthal, Alexandra Lebenthal, and DOES 1 to 10 inclusive, Defendants (DND Order)FINRA NAC Sustains Bar for Unauthorized Credit Card UseIn the Matter of FI... [read post]
11 Dec 2020, 7:08 am
SEC Commissioner Peirce Sounds the Due Process Alarm In Response To FINRA Rule Amendment (BrokeAndBroker.com Blog)SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities (SEC Release)Ex-Skyworks Solutions Semiconductor Engineer Sentenced to 18 Months in Federal Prison for Committing Insider Trading (DOJ Release)Federal Court Orders Interdealer Broker to Pay $7 Million for Deceptive Trading Practices in the FX Options Markets / Former CEO and Desk Head Ordered to Pay… [read post]
11 Dec 2020, 7:08 am
On December 10, 2020, the SEC approved a proposed rule change submitted by FINRA. [read post]
11 Dec 2020, 7:08 am
In today's featured lawsuit, a Panel of FINRA Arbitrators ordered Morgan Stanley to produce discoverable materials by midnight. [read post]
11 Dec 2020, 7:08 am
Ameriprise Financial Services, LLC and Li-Lin Hsu, Respondents (FINRA Arbitration Award)... [read post]
11 Dec 2020, 7:08 am
In furtherance of her claims, she moved to compel a FINRA arbitration, which the firm contested. [read post]
11 Dec 2020, 6:15 am
If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
11 Dec 2020, 6:04 am
However, last year a FINRA arbitration panel ordered UBS to pay $7.5 million in punitive damages to a compliance officer who claimed he was defamed when the firm terminated him. [read post]
10 Dec 2020, 2:55 pm
Buchsbaum, according to his FINRA Brokercheck report (as of April 2020) already has 21 pending customer disputes disclosed on his BrokerCheck record, including one for $100 million. [read post]
