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2 Oct 2020, 8:47 am
In a 2019 FINRA arbitration, a public customer representing himself pro se sought to recover hundreds of thousands of dollars in put-sales losses. [read post]
2 Oct 2020, 8:40 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
2 Oct 2020, 7:50 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
2 Oct 2020, 5:46 am
Robert Barnard Barred Indefinitely by FINRA in All Capacities In September 2020, FINRA barred Robert Barnard from associating with any FINRA member firm in all capacities, according to the FINRA Letter of Acceptance, Waiver and Consent (AWC). [read post]
2 Oct 2020, 5:46 am
Robert Barnard Barred Indefinitely by FINRA in All Capacities In September 2020, FINRA barred Robert Barnard from associating with any FINRA member firm in all capacities, according to the FINRA Letter of Acceptance, Waiver and Consent (AWC). [read post]
1 Oct 2020, 10:01 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
1 Oct 2020, 7:53 am
The White Law Group is investigating the liability that FINRA registered brokerage firms may have for improperly recommending Riverdale Multifamily DST to investors. [read post]
1 Oct 2020, 7:01 am
On February 14, 2020, a three-member FINRA Arbitration Panel found for the advisers and ordered Credit Suisse to pay compensatory damages totaling $1,602,609.95 plus costs, interest and attorneys’ fees. [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
FINRA reported that Eaton failed to provide documents and information requested by FINRA during the investigation. [read post]
Former Commonwealth Financial Advisor Gerald Eaton Barred for Conversion of $3.7 M in Customer Fraud
1 Oct 2020, 3:24 am
FINRA reported that Eaton failed to provide documents and information requested by FINRA during the investigation. [read post]
30 Sep 2020, 12:36 pm
In June, the Financial Industry Regulatory Authority’s (FINRA) indefinite suspension of Sanchez Rivera went into effect. [read post]
30 Sep 2020, 9:54 am
Firms that do not perform adequate due diligences on an investment or demonstrate a breach of fiduciary duty can be held accountable for losses incurred through FINRA arbitration. [read post]
29 Sep 2020, 8:03 pm
During a FINRA exam, the regulator wanted GGHC to beef up its review of cost-to-equity ratio and turnover ratios. [read post]
29 Sep 2020, 12:35 pm
He was recently named in two customer disputes filed in Financial Industry Regulatory Authority (FINRA) arbitration. [read post]
29 Sep 2020, 7:12 am
Rich, Intelisano & Katz, LLP (RIK) filed a $3 million FINRA arbitration this month on behalf of clients that invested in UBS Financial Services, Inc. [read post]
28 Sep 2020, 4:39 pm
We have litigated numerous cases before different arbitration organizations including the American Arbitration Association, Better Business Bureau, FINRA and JAMS. [read post]
28 Sep 2020, 1:09 pm
The Securities and Exchange Commission today announced October 26 as the date for its roundtable at which Commission staff and the Financial Industry Regulatory Authority (FINRA) will discuss initial observations on Regulation Best Interest and…Read the Full Press ReleaseHave a securities law question? [read post]
Ex-Kalos Capital Broker Curtis Whipple Accused of Unsuitability & Misrepresentation Involving UDF IV
28 Sep 2020, 12:35 pm
Latest FINRA Arbitration Claim Allege REIT Losses A number of investors recently filed a customer complaint against former Kalos Capital broker, Curtis Leroy Whipple, who was with the firm out of Plymouth, Michigan until this year. [read post]
28 Sep 2020, 10:14 am
According to his FINRA BrokerCheck report, Zabala was registered with John W. [read post]
28 Sep 2020, 9:22 am
As we previously reported, in July 2019 the staffs of the SEC and FINRA issued a joint statement on registered broker-dealers operating ATSs that trade digital assets. [read post]
