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14 Jan 2022, 8:59 am
FINRA has already granted the group expedited status to the proceedings due to their senior age, which should help fast track a recovery. [read post]
28 Oct 2013, 7:38 am
Holzer has been party to a FINRA suite. [read post]
17 Nov 2010, 8:04 am
- Posted by Arthur Owens Effective September 27, 2010, a new rule adopted by the Financial Industry Regulatory Authority (“FINRA”) requires timely notice to FINRA of certain corporate actions. [read post]
20 Jan 2012, 11:26 am
The White Law Group is nearly exclusively dedicated to FINRA arbitration proceedings on behalf of investors. [read post]
18 Feb 2020, 1:58 pm
Lek Securities is a U.S. brokerage firm regulated by the enforcement arm of FINRA – the largest independent regulatory body for securities trading and securities firms operating in the United States. [read post]
23 May 2018, 10:03 am
For FINRA’s full findings see FINRA case # No. 2017053435501. [read post]
20 Mar 2014, 5:35 am
The Financial Industry Regulatory Authority (FINRA) ordered J.P. [read post]
1 Apr 2016, 11:08 am
The Commission’s reaction to the present FINRA proposal makes this readily apparent. [read post]
21 Oct 2011, 2:03 pm
This AWC, accepted by FINRA on Oct. 14, also barred Simone from associating with any FINRA member in any capacity for failure to show up at a hearing. [read post]
11 Jul 2010, 10:14 am
The SEC approved FINRA's proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to (i) expand the information released through BrokerCheck, both in terms of scope and time; and (ii) establish a formal process to dispute the accuracy... [read post]
30 Oct 2023, 6:17 am
JOIN TODAY -- FREE MEMBERSHIP DOJ SEC CFTC FINRA FINRA Censures and Fines Haywood Securities (USA) Inc. for Reg BIIn the Matter of Haywood Securities (USA) Inc., Respondent (FINRA AWC) = = = Financial Professionals Coalition, Ltd. [read post]
20 Feb 2020, 11:07 am
FINRA's stated process calls for... [read post]
18 Sep 2023, 4:46 am
JOIN TODAY -- FREE MEMBERSHIP DOJ SEC CFTC FINRA = = = FINRA Gives the Finger(print) to the SEC and FBI (BrokeAndBroker.com Blog) ... [read post]
31 Mar 2022, 3:46 am
FINRA Rule 4111 – Knock-out Blow from FINRA? [read post]
28 Aug 2014, 11:53 am
FINRA Underpants Gnomes Miss Arbitration Phase 2September 5, 2014In a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in August 2013, FINRA member firm Claimant Kovack Securiti... [read post]
27 Jun 2017, 5:08 am
Kenley Brisard barred by FINRA. [read post]
3 Dec 2020, 8:56 am
The post Financial Advisor Promissory Note Attorneys – FINRA Lawyers appeared first on The White Law Group. [read post]
4 Dec 2014, 10:22 am
According to a recent FINRA Disciplinary Action, Mark Foster (CRD #719105, Pasadena, California) was barred from association with any FINRA member in any capacity. [read post]
4 Dec 2014, 10:27 am
For the full case information, see FINRA Case #2014040606201. [read post]
17 Aug 2016, 7:15 am
The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
