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20 Nov 2020, 10:10 am
Management of Native American Tribe's Investment Portfolio Prompts FINRA Bar (BrokeAndBroker.com Blog)CEO Charged With Securities And Bank Fraud In Alleged Scheme To Raise Funds For Digital Advertising Company / CEO Accused of Having Corporate Executive Clients Impersonated to Raise Investments (DOJ Release)SEC Charges E-Commerce Startup and CEO With Defrauding Investors (SEC Release)SEC Charges Former Finance Department Employee with Insider Trading (SEC Release)Frail, Ineffective… [read post]
20 Nov 2020, 10:10 am
FINRA OHO DecisionIn 2014, FINRA purportedly conducted a national review of its member firms to determine whether customers, who had purchased non-traded Real Estate Investment Trusts ("REITs"), had receiv... [read post]
20 Nov 2020, 10:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5553/securities-industry-commentator/OCC Assesses $250 Million Civil Money Penalty Against JPMorgan Chase Bank, N.A.GUEST BLOG [In]Securities: Missing a Crowded Table By Aegis Frumento Esq (BrokeAndBroker.com Blog)Louisiana Woman Indicted in $4.8M Elder Fraud Scheme (DOJ Release)SEC Settles with Investment Adviser Who Failed to Disclose Conflicts of… [read post]
20 Nov 2020, 10:10 am
Frail, Ineffective OCIE Statement About Complex Financial Products (BrokeAndBroker.com Blog)Ponzi Schemer Who Bilked Investors out of Millions of Dollars is Sentenced to more than Six Years in Prison (DOJ Release)Florida Man Charged with Manipulating Publicly Traded Stocks in Multiyear "Pump and Dump" Securities Fraud Scheme Worth Over $19 Million (DOJ Release)Commissioner Stops Local Firm from Fraudulently Marketing Forex Investments, Making False Claims of Registration and Legitimacy… [read post]
20 Nov 2020, 9:58 am
If so, the securities attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA complaint against the brokerage firm that sold you the investment. [read post]
20 Nov 2020, 8:42 am
Financial Industry Regulatory Authority (FINRA) barred him in February. [read post]
20 Nov 2020, 8:34 am
” FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
20 Nov 2020, 7:45 am
What Is FINRA Rule 9554? [read post]
20 Nov 2020, 6:57 am
According to FINRA Disciplinary actions for September 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]
19 Nov 2020, 12:24 pm
FINRA Reportedly Suspends David “Todd” Phillips for Alleged Sales of Future Income Payments According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has reportedly suspended financial advisor David Todd Phillips and fined him $5,000 after allegations of private securities transactions. [read post]
19 Nov 2020, 11:30 am
The FINRA complaint was filed on September 8, 2020. [read post]
19 Nov 2020, 9:57 am
According to FINRA, CABs can act as finders or placement agents in connection with the sale of newly issued unregistered securities or in connection with a change of control of a private company and are subject to FINRA rules, which can be used to accommodate a category of brokers similar to the SEC’s proposed Tier II finders. [read post]
19 Nov 2020, 5:17 am
We started the James Travis Flynn investigation in February 2019 and since our last update, there have been over 30 customer disputes added to his FINRA Broker check page. [read post]
19 Nov 2020, 5:17 am
We started the James Travis Flynn investigation in February 2019 and since our last update, there have been over 30 customer disputes added to his FINRA Broker check page. [read post]
19 Nov 2020, 5:10 am
Specifically, FINRA alleged: Continue reading The post Former Merrill Lynch Broker Douglas Stopkey Suspended by FINRA for 30 Days Over Unauthorized Trading and Mismarked Orders in Senior Customer Accounts appeared first on Securities Arbitration Lawyer Blog. [read post]
18 Nov 2020, 1:56 pm
FINRA has suspended stockbroker David T. [read post]
17 Nov 2020, 1:10 pm
FINRA has suspended stockbroker Troy R. [read post]
17 Nov 2020, 12:54 pm
What is FINRA Asking for in its Sweep? [read post]
17 Nov 2020, 12:30 pm
Specifically, FINRA alleged: In June 2015, Ms. [read post]
17 Nov 2020, 11:56 am
” Damage amount requested was $93,000, plus any gains lost, and the case settled for $25,000 according to FINRA. [read post]
