Search for: "Financial Industry Regulatory Authority"
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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]
7 Nov 2014, 8:40 am
Consider this recent example.Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in March 2013, Claimant Greene Holcomb & Fisher LLC (“GHL”) asserted breach of ... [read post]
12 Feb 2018, 3:22 am
30 Months Of Violations Under FINRA's Nose (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/3827/FINRA-30-Months/ There are times when the Financial Industry Regulatory Authority's regulation of its Wall Street member firms looks a lot like someone reading toe-tags in the morgue. [read post]
12 Mar 2016, 3:41 am
Enjoy the lovely Louis Armstrong tune at the end of the story.Case In Point In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in February 2015 and as thereafter amended, Claimant Alpert asserted breach of contract, unjust enrichment, violations of the New York Labor Law, a violation of New York Debtor Creditor Law. [read post]
