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22 Mar 2016, 4:07 am
Today's BrokeAndBroker.com Blog considers the complaints of two public customers who were angered about losses sustained in their Individual Retirement Accounts as a result of allegedly being overly-concentrated in an African mining stock. [read post]
18 Sep 2017, 3:52 am
Among the most frustrating aspects of practicing law is when you have a client who has been wronged, terribly wronged, but it's just too late to do anything about it. [read post]
26 Apr 2019, 1:47 am
Bottle of White, Bottle of Red, Perhaps An Assisted Living Bond Instead (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4569/finra-arbitration-restaurant/In today's blog we have a public customer Claimant who says he saw one of the respondents presenting an investment seminar at a restaurant in 2015. [read post]
19 Nov 2018, 4:44 am
In today's blog, we come across a relatively short FINRA Arbitration Decision that proves how interesting cases can sometimes come in small packages. [read post]
4 Jul 2022, 7:46 pm
Fallon, Claimant, v. [read post]
21 May 2021, 4:10 am
They claimed misrepresentations regarding the fairness of the settlements, the independence of the plan administrators, as well as failure to advise claimants of the prospects for enactment of the New York Child Victims Act. [read post]
25 Mar 2020, 10:51 am
" 2017 FINRA ClaimIn a FINRA Arbitration Statement of Claim filed in August 2017, public customer Claimant Kenneth Ebbe asserted violation of federal and state laws; negligence; breach of... [read post]
3 Apr 2020, 2:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5155/securities-industry-commentator/COVID-19 throws a curve ball at RIA M&A market, gut-punching valuations and causing fence-sitters to resolve to get the hell out, but Q1 prices hold their own / M&A rainmakers hedge their bets on how deep COVID-19 will drive cuts to RIA sale prices, although first quarter market has been stable (RIABiz by Oisin… [read post]
8 Dec 2015, 9:18 am
The biggest cost to an insurance company is payments made by adverse claimants or its own policyholders. [read post]
6 Sep 2022, 4:06 am
A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)FINRA board member's firm settles cases without disclosure of conflicts (Financial Planning by Tobias Salinger)SEC Charges Former Vice President of Medical Device Company with Insider Trading (SEC Release)Aspiration Financial Loses Oddball Pro Se Customer FINRA ArbitrationIn the Matter of the Arbitration Between Aspiration Financial LLC, Claimant, v. [read post]
30 Sep 2016, 5:00 am
Today's BrokeAndBroker.com Blog time travels from a September 2016 FINRA regulatory settlement back in time to a 2001 customer complaint. [read post]
9 Apr 2021, 6:00 am
Hall, Claimant, v. [read post]
14 Aug 2014, 12:45 pm
This cut-off date pertains to the $2.5 billion settlement reached by DePuy's parent company, pharmaceutical giant Johnson & Johnson. [read post]
19 Oct 2014, 5:49 pm
There is cause for concern about factoring companies offering quick cash for structured settlement payments that fall short of the total value of a structured settlement over a claimant’s lifetime. [read post]
15 Aug 2022, 4:15 am
With Judge Alan Albright no longer a lock for patent litigants in the Western District of Texas, prospective claimants and their counsel should be rethinking their venue selection strategies. [read post]
1 Jul 2014, 10:15 am
The Texas Supreme Court held that the lawsuit could not be dismissed simply because the wrongful death claimants were in the country illegally. [read post]
26 Jun 2013, 1:15 pm
Economic Heroes, 'Bogus' Asylum Claimants, and Genuine Refugees: A Discourse-Historical Analysis of Recent Changes to Immigration Policy, 2010 to 2012, Major Research Paper (Ryerson University, Jan. 2012) [text] Empowerment through Education: The Case of Adult African Refugees, Thesis (American University in Cairo, Spring 2013) [text] Humanitarian Intervention, Refugee Protection, and the Place of Humanitarianism in International Relations, Thesis (University of Canterbury, 2012) [text] The… [read post]
11 Jul 2017, 4:54 am
With all the "questionable activity" that goes on every day in our financial markets, what exactly is it that the industry's men and women should be careful to "recognize? [read post]
22 Mar 2019, 6:09 am
All of which makes for some compelling reading.Case In PointIn a FINRA Arbitration Statement of Claim filed in June 2016, public customer Claimant Anne C. [read post]
10 Mar 2015, 1:34 pm
However, Florida's First District Court of Appeal recently ruled in Glaze v. [read post]
