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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]
28 Sep 2023, 1:25 pm
” As advocated by the Public Investors Advocate Bar Association, the logical answer is FINRA. [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, 1:01 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
28 Sep 2023, 12:22 pm
FINRA Rules and Suitability of Alternative Investments The Financial Industry Regulatory Authority (FINRA) has rules regulating broker dealers’ sales of investments. [read post]
28 Sep 2023, 11:43 am
Dennis Phillip Ayre Barred By FINRA In January of 2022, FINRA issued a Letter of Acceptance and Consent according to which Dennis Ayre, without admitting or denying FINRA’s allegations, agreed to being barred after he refused to provide on-the-record testimony requested by FINRA in connection with an investigation into Ayre’s alleged unsuitable investment recommendations to his customers. [read post]
28 Sep 2023, 11:43 am
Dennis Phillip Ayre Barred By FINRA In January of 2022, FINRA issued a Letter of Acceptance and Consent according to which Dennis Ayre, without admitting or denying FINRA’s allegations, agreed to being barred after he refused to provide on-the-record testimony requested by FINRA in connection with an investigation into Ayre’s alleged unsuitable investment recommendations to his customers. [read post]
28 Sep 2023, 11:43 am
Dennis Phillip Ayre Barred By FINRA In January of 2022, FINRA issued a Letter of Acceptance and Consent according to which Dennis Ayre, without admitting or denying FINRA’s allegations, agreed to being barred after he refused to provide on-the-record testimony requested by FINRA in connection with an investigation into Ayre’s alleged unsuitable investment recommendations to his customers. [read post]
28 Sep 2023, 9:13 am
.), 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]
28 Sep 2023, 7:30 am
An elderly couple in their upper 80s filed a FINRA arbitration claim against David Lerner Associates, Inc. [read post]
28 Sep 2023, 3:25 am
The Staff indicates that, in a situation where the required “no objections” statement from FINRA has not yet been obtained, the Staff will consider granting requests for acceleration or qualification if the underwriters confirm in their request that they will not execute the underwriting agreement or confirm sales of the registered securities until they receive that statement from FINRA. 6. [read post]
27 Sep 2023, 12:45 pm
If your broker has defrauded you, you may be able to file a FINRA claim against your brokerage firm. [read post]
27 Sep 2023, 7:30 am
Easy Way to Check your Broker – FINRA BrokerCheck Most CFP professionals fall under the jurisdiction of the Financial Industry Regulatory Authority (FINRA) and/or the U.S. [read post]
26 Sep 2023, 11:22 am
Understanding FINRA Arbitration Continue reading The post Navigating FINRA Arbitration: A Closer Look at Securities Dispute Resolution appeared first on Securities Arbitration Lawyer Blog. [read post]
25 Sep 2023, 9:03 am
Fortunately, FINRA provides an arbitration forum for investors to resolve such disputes. [read post]
25 Sep 2023, 7:45 am
Benjamin, a Former Raymond James Financial Advisor, Faces FINRA Investigation Over Customer Complaint appeared first on Securities Fraud Lawyers Blog. [read post]
22 Sep 2023, 2:35 pm
Contact us Is Patrick Thayer Subject to a FINRA Sanction? [read post]
