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23 Jun 2014, 4:30 am
In 2013, the FINRA Ombuds Office opened 567 cases. [read post]
7 Dec 2020, 7:43 am
Coastal Equities Has Been The Subject of $3M in Investor Arbitration Claims Coastal Equities, a mid-sized broker-dealer, recently arrived at a settlement with the Financial Industry Regulatory Authority (FINRA) in which it agreed to give $280K in restitution to several customers. [read post]
10 Mar 2020, 6:32 am
If you are looking for a Nashville FINRA attorney, please call the offices at 888-637-5510. [read post]
29 Jul 2015, 2:53 pm
According to FINRA, Mr. [read post]
25 Aug 2014, 6:36 am
He is not currently associated with a FINRA member. [read post]
9 Jan 2014, 7:51 am
FINRA recently announced that it has ordered two St. [read post]
12 Sep 2014, 6:10 am
FINRA found that B. [read post]
24 Jan 2014, 6:28 am
FINRA found that while the brokers were associated with JP Turner and PAA they raised money for both APC and AP. [read post]
26 Feb 2016, 10:38 am
(FINRA Reg. [read post]
9 Nov 2015, 4:19 am
Once FINRA identifies these individuals, FINRA will focus on them and their supervisors. [read post]
3 Nov 2021, 7:14 am
According to the reports from Finra, it finalized its sanctions against Merrill, and accepted a settlement letter from a 30-year Merrill veteran in Chattanooga, Tennessee, and another from a 35-year industry veteran in Charlotte, North Carolina. [read post]
26 Apr 2019, 6:36 am
Malecki Law’s securities lawyer team has been investigating into Corey Lee Mireau’s blemished background as well as his alleged violations of securities regulations including FINRA Rules 3240, FINRA Rule 3270, NASD Rule 3040 and subsequently FINRA Rule 2010. [read post]
30 Apr 2021, 7:27 am
The FINRA panel reportedly denied the expungement request, but ordered Morgan Stanley and Shapira to pay only $782,278.90 in compensatory damages, according to the FINRA document. [read post]
23 Oct 2020, 11:05 am
According to FINRA, a request was sent to Mr. [read post]
23 Jul 2012, 9:57 am
A FINRA arbitration award against the sole clearing broker and prime broker for a hedge fund that turned out to be a massive Ponzi scheme was affirmed by a Second Circuit panel. [read post]
13 Jun 2017, 2:18 pm
Gana LLP’s investment fraud attorneys are looking into multiple customer disputes filed with the Financial Industry Regulatory Authority (FINRA) against broker Rodger James Burskey (Burskey) that led to a regulatory action by FINRA. [read post]
13 Mar 2013, 5:14 am
According to reports, FINRA is investigating Tony Thompson and his broker-dealer, TNP Securities LLC, for failing to turn over documents to FINRA. [read post]
8 Jun 2021, 11:07 am
They must ensure they are complying with FINRA rules. [read post]
27 Jul 2012, 4:46 am
FINRA?) [read post]
23 May 2021, 6:24 pm
The pandemic forced the world to re-evaluate how it works—and FINRA’s…… #seclaw… http://feedproxy.google.com/~r/Seclaw/~3/4PS18xS-1-g/the-pandemic-forced-world-to-re_21.html #securitieslawyer #securitiesattorney----- Coast-to-coast representation of investors and financial professionals - Securities Lawyer [read post]
