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5 Nov 2020, 9:18 am
FINRA Sanctions First Clearing LLC for Failure to Provide Accurate Valuations on REITs & DPPs According to the Financial Industry Regulatory Authority (FINRA) on November 5, the regulator reportedly censured and fined broker-dealer First Clearing LLC (Wells Fargo Clearing Services, LLC CRD No. 19616) $300,000 in connection with alleged failure to provide accurate valuations on REITs & DPPs, as well as supervisory issues. [read post]
5 Nov 2020, 6:41 am
The firm has represented numerous FSEP investors in FINRA claims against their brokerage firms. [read post]
5 Nov 2020, 4:19 am
---https://www.napa-net.org/news-info/daily-news/sec-targets-broker-dealer-text-messaging-mix ---Mark Astarita has 30 years of experience representing investors, brokers and issuers in their securities regulatory and litigation matters, including SEC and FINRA proceedings, arbitrations, and due diligence in connection with public and private offerings and investments. [read post]
3 Nov 2020, 1:05 pm
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
3 Nov 2020, 11:21 am
The Financial Industry Regulatory Authority (FINRA) has implemented a new rule– FINRA Rule 3241 — to limit brokers from holding positions of trust for clients, according to reports this week. [read post]
3 Nov 2020, 11:09 am
• Member FINRA/SIPC • 155 E. [read post]
3 Nov 2020, 11:01 am
The expulsion was handed down by FINRA because Ms. [read post]
3 Nov 2020, 10:42 am
In the last recorded complaint by FINRA, Isaacson “consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into whether he made unsuitable investment recommendations,” the FINRA record stated. [read post]
3 Nov 2020, 10:05 am
Under FINRA rules, a stockbroker is required to perform reasonable due diligence to understand two key areas: 1) the stockbroker’s in and out trading strategy recommendation and 2) the impact the stockbroker’s recommendation has on the account’s ability to turn a profit. [read post]
3 Nov 2020, 7:34 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
3 Nov 2020, 7:23 am
Recover Jesse Kovacs Losses Through FINRA Arbitration Silver Law Group is a nationally-recognized FINRA arbitration and investment fraud law firm with experience recovering selling away losses for investors. [read post]
3 Nov 2020, 6:54 am
If you have suffered losses investing in NorthStar, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
2 Nov 2020, 1:07 pm
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
2 Nov 2020, 9:17 am
FINRA’s White Paper on Artificial Intelligence in the Securities Industry, in June of 2019, provides some good guidelines in implementing AI. [read post]
2 Nov 2020, 8:07 am
Two Men Indicted For Allegedly Operating Multimillion Dollar Sports Betting Pyramid Scheme In Las Vegas / Defendants Allegedly Defrauded More Than 600 Investors (DOJ Release)Russian Cybercriminal Sentenced to Prison for Role in $100 Million Botnet Conspiracy (DOJ Release)SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 (SEC Release)FINRA Fines and Suspends Rep over Borrowing from Two CustomersIn the Matter of Timothy Aaron Engelmann, Respondent (FINRA… [read post]
2 Nov 2020, 8:07 am
FINRA imposes fines and sanctions if you give too much help to your friends. [read post]
2 Nov 2020, 8:07 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5515/securities-industry-commentator/Two Men Indicted For Allegedly Operating Multimillion Dollar Sports Betting Pyramid Scheme In Las Vegas / Defendants Allegedly Defrauded More Than 600 Investors (DOJ Release)Russian Cybercriminal Sentenced to Prison for Role in $100 Million Botnet Conspiracy (DOJ Release)SEC Division of Enforcement Publishes Annual… [read post]
2 Nov 2020, 4:37 am
This firm was expelled by FINRA on February 13, 2003. [read post]
2 Nov 2020, 4:37 am
This firm was expelled by FINRA on February 13, 2003. [read post]
1 Nov 2020, 11:54 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
