Search for: "Financial Industry Regulatory Authority"
Results 4461 - 4480
of 11,230
Sorted by Relevance
|
Sort by Date
5 Feb 2014, 4:50 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2011, Claimants alleged, among other causes of action, fraud and breaches of fiduciary duty and contract. [read post]
25 Jul 2022, 4:10 am
2017 FINRA Offer of SettlementIn response to the filing of a Complaint on July 15, 2016, by the Financial Industry Regulatory Authority's ("FINRA's") Department of Enforcement, Respondent Robert Edward Loftus submitted an Offer of Settlement dated March 10, 2017, which the regulator accepted. [read post]
12 Apr 2018, 3:50 am
Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying ... [read post]
10 Jun 2016, 4:40 am
The Financial Industry Regulatory Authority ("FINRA") announced that it will be splitting the roles of Chair/Chief Executive Officer Richard Ketchum, and, in furtherance of that policy, has named Robert W. [read post]
4 Nov 2016, 6:01 am
Claimant's career was ruined when securities firms refused to hire her, and her ability to support herself and her family was destroyed.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2015 and as amended thereafter, former Merrill Lynch registered representative Claimant Adeimy asserted breaches of the employment agreement, contract, equitable and just principles of trade,… [read post]
5 Aug 2015, 8:42 am
The Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim under consideration today was filed in 2008. [read post]
13 Jan 2014, 8:18 am
An Easy EightIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in November 2012, Claimant Lehman Brothers ultimately sought to recover up to $1,818,546.68 in compensatory damages based upon allegations of breach of contract attendant to the repayment of th... [read post]
30 Jul 2013, 4:51 am
In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in May 2012, Claimant Edward Jones asserted: violation of the California Trade Secrets Act; breach of contract;breach of fiduciary duty; and unfair competitionin connection with Respondent John C. [read post]
29 Oct 2014, 7:15 am
" See the article below, however, for someone who didn't quite get Engelbert's message.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in September 2013, public customer Claimant Elhamrawy, representing himself pro se, asserted breach of fiduciary duty; churning; and omission of facts in con... [read post]
19 Jun 2015, 2:46 am
In a recent FINRA customer arbitration, the Claimants sure as hell got their moneys-worth in terms of a clever legal theory -- if only the Award equaled the brilliant legal effort.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in February 2012, public customer Claimants alleged causes of action including breaches of contract and fiduciary duty, negligence, unsuitability, fraud, improper… [read post]
7 Oct 2013, 3:45 am
If you don't and get caught, bad is going to get a whole helluva lot worse.For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a re... [read post]
24 Jan 2015, 5:29 am
Financial Industry Regulatory Authority, Inc. [read post]
11 Jun 2013, 8:16 am
In September 2007, the Financial Industry Regulatory Authority, Inc. (“FINRA”) (the successor to the National Association of Securities Dealers (“NASD”)) filed a Complaint with its Office of Hearing Officers charging that, in July 2006, John M.E. [read post]
10 May 2014, 6:00 am
Fantex is an online securities exchange that is a member of the Securities Investor Protection Corporation (SIPC) and Financial Industry Regulatory Authority (FINRA). [read post]
25 Apr 2016, 3:47 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in September 2015, FINRA member firm Claimant Janney Montgomery Scott LLC sought to recover the balance on two promissory notes dated April 20, 2014, and May 16, 2014, from former associated person Respondent Kelleher. [read post]
18 Sep 2017, 3:53 am
Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement... [read post]
30 Oct 2017, 8:12 am
As set forth on Financial Industry Regulatory Authority's ("FINRA's") website:The National Adjudicatory Council (NAC) is a FINRA committee that reviews initial decisions rendered in FINRA disciplinary and membership proceedings. [read post]
18 Jul 2018, 6:02 am
Place your bets on the customer, the broker-dealer, and the stockbroker.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in August 2017, public customer Claimant Footlik asserted Respondents Morgan Stanley and Weinstock ignored his account for 16 years and failed to provide investment advice. [read post]
7 Jan 2019, 4:59 am
If you don't understand all the ensuing moves and the endgame, don't worry -- there will be plenty of repeat matches with the same opening throughout 2019.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016, and as amended, associated person Claimant Gefen ultimately a... [read post]
19 May 2014, 5:46 am
Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, Claimants asserted causes of action including breaches of contract and fiduciary duty, unsuitability, fraud, and negligence in connection with an assertion t... [read post]
