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18 May 2015, 8:09 am
The Law offices of Gana LLP are pleased to announce that their client recently received a FINRA arbitration award of $400,000 in case where the former Fidelity Brokerage Services LLC (Fidelity) brought claims against his former employer for common law negligence and failure to supervise. [read post]
5 Feb 2020, 8:34 am
Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. [read post]
4 Mar 2020, 7:27 am
Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. [read post]
22 Aug 2022, 7:00 am
Our L Bond loss attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) represent these claimants in FINRA arbitration. [read post]
16 Mar 2011, 7:41 am
This month a FINRA Arbitration panel awarded investors Jeffrey and Marisel Lieberman 100% of the losses they claimed as a result of their investments with a hedge fund which acted as a “feeder fund” for Bernard Madoff’s ponzi scheme. [read post]
12 Sep 2019, 1:06 am
UBS Hit With $9 Million in Damages in FINRA Arbitration Amid Allegations that Firm Had Raided Credit Suisse. [read post]
16 Jan 2018, 2:34 am
FINRA Dispute Hangs Out As SEC Unzips Zipper Appeal (BrokeAndBroker.com Blog) http://www.brokeandbroker.com/3773/sec-zipper-finra/So . . . 2016 became 2017, and 2017 now turns the page to 2018, and, go figure, but Bruce Zipper is still in the ring battlin' it out with FINRA and the SEC. [read post]
21 Jun 2022, 4:24 am
GUEST BLOG [In]Securities: Jive Talkin': The SEC Busts a Braggin' Broker by Aegis Frumento Esq (BrokeAndBroker.com Blog)Home Health Care Provider Is Sentenced To Prison For Stealing More Than $1 Million From Two Elderly Clients (DOJ Release)FINRA Orders National Securities Corp. to Pay $9 Million for Attempting to Artificially Influence the Aftermarket in 10 Offerings, and Other Violations / NSC Ordered to Pay Over $625,000 in Restitution to Customers Who Bought GPB Capital… [read post]
29 May 2023, 1:26 pm
In 2019, FINRA's OHO barred the stockbroker; and, after an appeal, in 2022, FINRA's NAC affirmed. [read post]
19 Nov 2021, 3:27 am
FINRA Arbitrator Says Customers' Claims Are Baseless in Win for Industry Respondents(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6182/finra-arbitration-baseless/Two Wall Street professionals were accused by two customers of having engaged in some seven years of account mismanagement. [read post]
16 Nov 2018, 3:57 am
Competitively Different Cambridge Lose Culturally Unique FINRA Block Trade Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4293/finra-cambridge-arbitration/You'd sort of think -- sort of expect -- that as among FINRA's BrokerCheck and a FINRA Arbitration Decision and a TSSB Disciplinary Order that we would know what was happening. [read post]
9 Aug 2019, 11:47 am
FINRA Censures and Fines Member Firm for 13 Unregistered Prop Traders. [read post]
4 Jan 2019, 6:58 am
Carvallo, Respondent (FINRA AWC 2017054419802, January 8, 2019). [read post]
18 Oct 2019, 4:41 am
ITG Inc., Respondent (FINRA Arbitration Decision)FINRA Fines BNP Paribas Securities Corp. and BNP Paribas Prime Brokerage, Inc. $15 Million for AML Program and Supervisory Failures (FINRA Release)Former Director of Corporate La... [read post]
23 Aug 2017, 5:19 am
What's The Frequency FINRA? [read post]
12 Mar 2022, 7:45 am
Unfolded before us is what appears to be a record of misconduct by the respondents as developed by FINRA; regardless, you're left wondering whether FINRA would opted for the same hammer and tongs approach against a large member firm or one of its C-suiters. [read post]
4 Dec 2018, 4:45 am
In the Matter of the FINRA Arbitration Between Gregory Jay Chebuske, Claimant, vs. [read post]
7 Jan 2022, 11:54 am
(BrokeAndBroker.com Blog)FINRA Mulls A Defaulted Bond's Worth (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6241/finra-defaulted-bond/In a recent regulatory settlement, FINRA c... [read post]
27 Jun 2020, 2:54 am
Eileen Murray Elected Chairperson of FINRA Board of Governors / Maureen Jensen and Eric Noll Appointed as New Public Governors (FINRA Release)FINRA Settles Untimely Disclosure of Four Felony Charges Without Willfulness Finding (BrokeAndBroker.com Blog)FINRA Imposes Fine and Suspension for Rep's Private Securities TransactionsIn the Matter of Henry A. [read post]
20 Feb 2013, 7:42 am
FINRA, A134179 (Cal.App.1st, 2012)) were frustrated in trying to have FINRA remove defamatory and fact-false complaints posted by FINRA on Broker Check. [read post]
