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31 Aug 2020, 9:43 am
” Our securities fraud attorneys represent many of these investors, and each year we recover millions of dollars in compensation for our clients through arbitration with the Financial Industry Regulatory Authority (FINRA) and in federal courts across the country. [read post]
31 Aug 2020, 8:46 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
31 Aug 2020, 8:39 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
31 Aug 2020, 7:09 am
Under the new accredited investor definition, the following parties would now be considered accredited investors: (1) designated professionals, such as those persons currently holding, in good standing, the FINRA Series 7, Series 65 and Series 82 licenses, others may follow; (2) private fund knowledgeable employees, including, but not limited to, executive officers, directors, general partners, trustees, advisory board members, or other affiliated fund persons overseeing the… [read post]
31 Aug 2020, 4:00 am
Ronald Walter Hannes of Spokane, Washington submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly failing to produce documents and information requested by FINRA in violation of FINRA Rules 8210 and 2010. [read post]
31 Aug 2020, 4:00 am
Ronald Walter Hannes of Spokane, Washington submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly failing to produce documents and information requested by FINRA in violation of FINRA Rules 8210 and 2010. [read post]
28 Aug 2020, 11:14 am
Senior Investors’ Fraud Complaint Against KCD Financial & Fess Financial Seeks up to $1M in Damages A Dallas, Texas couple has filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against Christopher Charles Fess, of Fess Financial and KCD Financial, where he is a registered investment advisor. [read post]
28 Aug 2020, 8:54 am
FINRA Proposes OHO and NAC Hearings Via ZOOM (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5413/finra-covid-zoom/As if things weren't bad enough among the FINRA broker-dealer community, now the self regulator wants to force respondents to participate in ZOOM teleconferenced regulatory hearings before its Office of Hearing Officers ("OHO") panels and its National Adjudicatory Council ("NAC"). [read post]
28 Aug 2020, 8:54 am
Indicted And Arrested For Conspiracy To Commit Wire Fraud (DOJ Release)SEC Charges Florida Men for Ponzi Scheme Targeting Investors in Puerto Rico (SEC Release)SEC Charges Firm and Its CEO with Unlawful Sales of Securities (SEC Release)CFTC Charges 5 Canadians, 1 American, and 4 Companies in $165 Million Global Binary Options Fraud Scheme (CFTC Release)FINRA Imposes Censure, Fine and Restitution on Wells Fargo Clearing Services and Wells Fargo Advisors Financial ... [read post]
28 Aug 2020, 7:00 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
28 Aug 2020, 5:00 am
According to his FINRA brokercheck report, the dispute was settled on 24th January 2020 for $542,444.83 which was the same amount originally requested by the client. [read post]
28 Aug 2020, 5:00 am
According to his FINRA brokercheck report, the dispute was settled on 24th January 2020 for $542,444.83 which was the same amount originally requested by the client. [read post]
28 Aug 2020, 4:00 am
Without admitting or denying FINRA’s findings, Peter Douglas Monson was assessed a fine of $7,500 and suspended from association with any FINRA member in all capacities for six months. [read post]
28 Aug 2020, 4:00 am
Without admitting or denying FINRA’s findings, Peter Douglas Monson was assessed a fine of $7,500 and suspended from association with any FINRA member in all capacities for six months. [read post]
27 Aug 2020, 1:47 pm
Boyar is a registered representative with, and securities offered through LPL Financial, member FINRA/SIPC. [read post]
27 Aug 2020, 7:23 am
FINRA Broker Disciplinary Action Report: August 2020Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
27 Aug 2020, 7:00 am
FINRA just administratively postponed live arbitration hearings, again, and it is a virtual guarantee that they will administratively order virtual hearings in all cases.Of course, they will need a rule change, and SEC approval, which will take months, but it is going to happen. [read post]
26 Aug 2020, 1:21 pm
CFD and Bahrenburg allegedly violated FINRA rules by failing to conduct reasonable due diligence into the Payson offering. [read post]
26 Aug 2020, 11:33 am
FINRA Alert Warns of Fake Websites using Brokers’ Names Not long after an alert about a new fake FINRA domain that has an extra “n” in its domain name, the Financial Industry Regulatory Authority (FINRA) warned that impersonators are also setting up fake websites using brokers’ names. [read post]
26 Aug 2020, 9:13 am
February, 2020: A regulatory disclosure from FINRA indefinitely suspended Carter from associating with a FINRA member firm in all capacities for “failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. [read post]
