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5 Oct 2023, 4:00 pm
The ex-Investment Network stockbroker, who was fired by the brokerage firm in August, also was barred by the Financial Industry Regulatory Authority (FINRA) after he refused to testify in an ongoing investigation into his purported selling of these alternative investments. [read post]
5 Oct 2023, 3:25 pm
Our Knowledgeable Elder Financial Abuse Attorneys Represent Senior and Elderly Retirees In Pursuing Damages According to a new study by the FINRA Investor Education Foundation and Rush University Medical Center, seniors are more vulnerable than previously thought to financial scammers pretending they belong to a bogus government agency. [read post]
5 Oct 2023, 4:30 am
Sessions include: Clare Fowler & Colin Rule, Mediate.com, “Me Myself and AI”;Will Hall & Mary Chavez Rudolph, Department of Interior Office of Collaborative Action and Dispute Resolution, “Evaluation of Ombuds Conflict Coaching Services at the Office of Collaborative Action and Dispute Resolution”;Tim Hedeen, Professor and former University Ombuds at Kennesaw State University, “IOA Government Sector Survey Data Review”;Stacy Puente, Ombuds at the US… [read post]
3 Oct 2023, 10:11 pm
(referred to below as referred to below as “CIM REIT ”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
3 Oct 2023, 9:01 pm
In July and August 2023, the SEC filed 84 actions and the CFTC filed 16, against a combined total of 176 defendants and respondents. [read post]
3 Oct 2023, 3:57 pm
(sometimes referred to below as “Lightstone IV””) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
3 Oct 2023, 8:38 am
These claims for investment losses have been filed in FINRA arbitration against Mr. [read post]
3 Oct 2023, 7:26 am
Continue Reading › The post How unsuitable investments, unnecessary commissions and fees can hurt a vulnerable investor: FINRA disciplines Christopher F. [read post]
1 Oct 2023, 8:08 am
This case is identified as FINRA Case #2019061213402. [read post]
1 Oct 2023, 8:04 am
This case was recorded under FINRA Case #2019061789202. [read post]
1 Oct 2023, 8:00 am
King of Venice, California, was issued an AWC (Acceptance, Waiver, and Consent) by FINRA. [read post]
1 Oct 2023, 7:45 am
On July 17, 2023, FINRA issued an AWC (Acceptance, Waiver, and Consent), resulting in Spartan Capital broker Murat Kartal’s suspension from association with any FINRA (Financial Industry Regulatory Authority) member for 10 months. [read post]
29 Sep 2023, 10:49 pm
(formerly known as Carter Validus Mission Critical REIT II and referred to below as referred to below as “Sila REIT ”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
29 Sep 2023, 4:37 pm
Investors in Moody National REIT II (sometimes referred to below as “Moody REIT II”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
29 Sep 2023, 12:03 pm
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market…Read the Full Press Release Have a securities law question? [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Barred by FINRA in All Capacities According to a Letter of Acceptance, Waiver, and Consent (“AWC”), without admitting or denying FINRA’s findings, Carlos Leston agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Barred by FINRA in All Capacities According to a Letter of Acceptance, Waiver, and Consent (“AWC”), without admitting or denying FINRA’s findings, Carlos Leston agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
28 Sep 2023, 1:56 pm
Carlos Leston Barred by FINRA in All Capacities According to a Letter of Acceptance, Waiver, and Consent (“AWC”), without admitting or denying FINRA’s findings, Carlos Leston agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
28 Sep 2023, 1:25 pm
Without admitting or denying FINRA’s findings, Roshan Perera agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
28 Sep 2023, 1:25 pm
Without admitting or denying FINRA’s findings, Roshan Perera agreed to being permanently barred from associating with any FINRA member in all capacities. [read post]
