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12 Oct 2020, 12:08 pm
Robinhood Faces Investigations from SEC and FINRA - Tech. [read post]
12 Oct 2020, 8:29 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
12 Oct 2020, 4:10 am
FINRA rule that bars interference with class action doesn’t bar contract clause that bars class arbitration (9th Cir.). [read post]
10 Oct 2020, 11:29 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
Former Benjamin & Jerrold Broker Rand Heckler Faces Elder Financial Fraud and Ponzi Scam Allegations
9 Oct 2020, 10:16 am
Four of these firms were expelled by FINRA. [read post]
9 Oct 2020, 8:45 am
The respondent was barred by FINRA for failure to testify during a second on-the-record interview. [read post]
9 Oct 2020, 8:45 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5482/securities-industry-commentator/How one family’s nightmare illustrates the growing threat of real estate wire fraud (CNBC by Andrea Day, Louise Connelly, Jennifer Schlesinger, and Scott Zamost)FINRA's Board Unimaginatively Responds to Existential Crisis By Raising Fees (BrokeAndBroker.com Blog)Justice Department And Indian… [read post]
9 Oct 2020, 8:45 am
FINRA's Board Unimaginatively Responds to Existential Crisis By Raising Fees (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5486/finra-rule-proposal/From my perspective, FINRA is an inept and frequently ineffective regulator, which I have long characterized as the lap dog of its larger member firms. [read post]
9 Oct 2020, 8:45 am
In fairness to FINRA, the OBA protocol is fairly straightforward: A registered rep who wants to engage in OBA is required to notify his employer. [read post]
9 Oct 2020, 8:45 am
FINRA Fines and Suspends Merrill Lynch Rep Over Apartment Rentals (BrokeAndBroker.com Blog)Former Office Manager Sentenced To More Than 5 Years In Federal Prison For Stealing $790,600 (DOJ Release)Unlicensed New Jersey Investment Adviser Charged with Defrauding Clients Out of More than $2 Million (DOJ Release)Convicted Fraudster Pleads Guilty To New Fraud Scheme, Plea Agreement Includes Stipulated 10-Year Sentence / Scheme Resulted in Alleged Loss to Investors of at Least $7 million (DOJ… [read post]
9 Oct 2020, 8:45 am
Beasley, Respondent (FINRA AWC)J&F Investimentos S.A. [read post]
9 Oct 2020, 7:54 am
The proposal was filed by the national equity exchanges and FINRA (collectively, the SROs) following the Commission’s order to submit a plan to modernize the governance structure for the production of public consolidated equity market data and the dissemination of trade and quote data from trading venues. [read post]
8 Oct 2020, 10:20 pm
Investors in Resource Real Estate Opportunity REIT (“Resource REIT”) and m Resource Real Estate Opportunity REIT II (“Resource 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]
8 Oct 2020, 11:52 am
Brokerage firms that do not perform adequate due diligence on an investment and/or make unsuitable recommendations can be held accountable for investment losses through FINRA arbitration. [read post]
8 Oct 2020, 8:19 am
Investors in Moody National REIT II (“Moody 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]
8 Oct 2020, 5:11 am
The Financial Industry Regulatory Authority (“FINRA”) would later condemn Archer’s use of the bonds in this way because the Wakpamni bonds had “no active market. [read post]
8 Oct 2020, 4:50 am
Such practices hurt investors and have caught the attention of FINRA, the securities industry regulator. [read post]
7 Oct 2020, 7:53 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
7 Oct 2020, 7:42 am
Retiree Alleges Overconcentration in Spirit of America Energy Fund David Lerner Associates and its registered representative, Gary Walter Isler, are once again the subject of a Financial Industry Regulatory Authority (FINRA) arbitration claim. [read post]
7 Oct 2020, 5:50 am
An investment fraud attorney can help you file a federal lawsuit or pursue FINRA arbitration against the company or broker that is responsible for the losses you have endured. [read post]
