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24 Jul 2020, 11:43 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
24 Jul 2020, 9:13 am
According to a public disclosure from FINRA, “an AWC was issued in which the firm was censured, fined $100,000 and ordered to pay $15,574.13, plus interest, in restitution to a customer. [read post]
23 Jul 2020, 6:50 am
We represent investors in FINRA arbitration claims in all 50 states, including New York. [read post]
22 Jul 2020, 10:53 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
21 Jul 2020, 12:45 pm
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses in a FINRA arbitration claim. [read post]
21 Jul 2020, 12:39 pm
According to his FINRA BrokerCheck report, the regulator barred Carter in September 2019. [read post]
21 Jul 2020, 12:19 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
21 Jul 2020, 10:27 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
21 Jul 2020, 9:49 am
In connection with FINRA’s investigation into whether Isaacson made unsuitable investment recommendations, FINRA staff issued Isaacson a request for documents and information. [read post]
21 Jul 2020, 9:48 am
AI Applications Continue reading › The post FINRA ISSUES REPORT ON ARTIFICIAL INTELLIGENCE IN THE SECURITIES INDUSTRY appeared first on FINRA Lawyer Blog. [read post]
21 Jul 2020, 4:30 am
Michael Carter Barred by FINRA and Facing Pending Customer Dispute In September 2019, Michael Carter submitted a Letter of Acceptance, Waiver and Consent (AWC) through which he agreed to being barred from associating with any FINRA member firm in any capacity. [read post]
21 Jul 2020, 4:30 am
Michael Carter Barred by FINRA and Facing Pending Customer Dispute In September 2019, Michael Carter submitted a Letter of Acceptance, Waiver and Consent (AWC) through which he agreed to being barred from associating with any FINRA member firm in any capacity. [read post]
20 Jul 2020, 10:48 am
The Notice encourages FINRA members to continue to keep FINRA updated on a firm’s activities relating to digital assets that have not been previously disclosed. [read post]
20 Jul 2020, 9:08 am
Fortunately, FINRA provides an arbitration forum for investors to resolve such disputes. [read post]
20 Jul 2020, 2:04 am
Hugh Hewitt Supports Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)Wall Street Firms Consider Moving Jobs Out of NYC, Study Says (Bloomberg by Henry Goldman)SEC Charges Silicon Valley Start-Up and CEO With Defrauding Investors (SEC Release)UBS to Pay $10 Million for Violating Rules Which Give Priority To Retail Investors in Municipal Offerings (SEC Release)Texas showdown between UBS and top-ranked advisor over $180M book (Financial Planning by Kenneth Corbin)Miami… [read post]
20 Jul 2020, 2:04 am
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says (BrokeAndBroker.com Blog)Not Braking and Breaking (Speech by SEC Commissioner Hester Peirce)E-brokers TD Ameritrade, Interactive Brokers sustained record retail trading volumes in the second quarter (CNBC by Maggie Fitzgerald)After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award (Financial Planning by Andrew Welsch)CFTC Announces Whistleblower Awards Totaling… [read post]
20 Jul 2020, 2:04 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5337/securities-industry-commentator/New Research: FINRA Foundation Examines Financial Capability of Women Behind Bars / Study Highlights Grim Financial Challenges and Gender Disparities (FINRA Release)Vote for Stephen Kohn for 2020 FINRA Small Firm Governor (BrokeAndBroker.com Blog)Bridgewater Over Troubled FINRA… [read post]
20 Jul 2020, 2:04 am
And FINRA regularly treads those steps. [read post]
17 Jul 2020, 3:50 pm
A three member FINRA Arbitration Panel found for the advisers and ordered Credit Suisse to pay compensatory damages totaling $2,787,344 and interest, attorneys’ fees, FINRA forum fees, and liquidated damages equal to 100% of the advisers’ unpaid wages pursuant to New York Labor Law § 198(1-a). [read post]
17 Jul 2020, 11:51 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
