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5 Dec 2020, 12:44 pm
Fortunately, FINRA provides an arbitration forum for investors to resolve such disputes. [read post]
4 Dec 2020, 1:55 pm
” FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
4 Dec 2020, 1:23 pm
What is FINRA Rule 9554? [read post]
4 Dec 2020, 12:49 pm
According to FINRA Disciplinary actions for November 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. [read post]
4 Dec 2020, 9:22 am
Is the investment salesperson properly licensed, and his or her firm must be registered with the Financial Industry Regulatory Authority (FINRA), the SEC or a state securities regulator? [read post]
4 Dec 2020, 9:17 am
FINRA Suspends Texas Broker For Three Months Kurt Jason Gunter, a Wells Fargo Clearing Services (WRET) registered representative in Bee Cave, Texas, was recently sanctioned by the Financial Industry Regulatory Authority (FINRA). [read post]
3 Dec 2020, 8:57 am
Since securities employment disputes are usually handled through FINRA arbitration, it is important to hire an experienced FINRA securities employment attorney who is familiar with the nuances of FINRA arbitration (versus Court litigation). [read post]
3 Dec 2020, 8:56 am
The post Financial Advisor Promissory Note Attorneys – FINRA Lawyers appeared first on The White Law Group. [read post]
3 Dec 2020, 7:54 am
While FINRA keeps adding rules on member firms to prevent the hiring of brokers with a misconduct history, it also harms brokers and firms who do not have a significant history of misconduct.This time around FINRA is hitting firms that it deems to be hiring disciplined brokers financially, by requiring those firms to make deposits to be used to pay arbitration awards to customers. [read post]
2 Dec 2020, 9:26 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
2 Dec 2020, 7:20 am
Driscoll’s speech comes on the heels of the SEC’s upholding a FINRA enforcement action against the CCO of a broker-dealer who was fined $45,000 and given a 90-day suspension for failing to follow up on “red flags” that the broker-dealer was making payments to a firm owned by a barred broker. [read post]
2 Dec 2020, 5:09 am
Claims may be brought in securities arbitration before FINRA. [read post]
2 Dec 2020, 5:09 am
Claims may be brought in securities arbitration before FINRA. [read post]
1 Dec 2020, 12:48 pm
The Financial Industry Regulatory Authority (FINRA) barred Kubiak in October 2018 from working in the securities industry. [read post]
1 Dec 2020, 11:48 am
Claims may be brought in securities arbitration before FINRA. [read post]
1 Dec 2020, 11:47 am
Claims may be brought in securities arbitration before FINRA. [read post]
1 Dec 2020, 11:26 am
The post Former Broker Cynthia Cowden Has Been Barred by FINRA in Connection to Unsuitability Allegations appeared first on . [read post]
1 Dec 2020, 11:26 am
The post Former Broker Cynthia Cowden Has Been Barred by FINRA in Connection to Unsuitability Allegations appeared first on . [read post]
1 Dec 2020, 11:11 am
Customer Complaint and FINRA Award July 2015 – Customer Complaint and FINRA Award- Royal Alliance was ordered to pay $1.4 million to three separate retired investors due allegations of negligence while supervising sales of non traded real estate investment, trusts, and variable annuities. [read post]
1 Dec 2020, 7:41 am
Fortunately, FINRA provides an arbitration forum for investors to resolve such disputes. [read post]
