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17 Jul 2020, 8:35 am
This allowed an investor to tailor and customize Motif’s impacting models, Walia explained.Motif then went to the SEC and to FINRA to express its view that Motif’s model was not "advice" under the regulations, Walia said. [read post]
16 Jul 2020, 9:41 am
Former Financial Representative Is Facing Criminal Trial for Annuity Fraud The Financial Industry Regulatory Authority (FINRA) has fined Northwestern Mutual Investment Services $350K for failing to properly supervise former stockbroker, Sampson Pearson, which enabled him to defraud customers of $570K. [read post]
16 Jul 2020, 9:09 am
The Securities and Exchange Commission, Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for a virtual Compliance Outreach Program for Municipal Advisors. [read post]
16 Jul 2020, 7:20 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
15 Jul 2020, 10:47 am
Brokerage firms that do not perform adequate due diligence on an investment and/or make unsuitable recommendations can be held accountable for investment losses through FINRA arbitration. [read post]
15 Jul 2020, 9:11 am
Benson filed a Financial Industry Regulatory Authority (FINRA) arbitration claim against the broker-dealer and the two men. [read post]
15 Jul 2020, 4:25 am
July 15, 2020 Clients, Friends, Associates: We hope that you are staying safe and healthy while finding ways to enjoy the summer. [read post]
14 Jul 2020, 9:38 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve disputes. [read post]
13 Jul 2020, 9:09 am
Alternative Asset Firm Gets Federal Aid While Its Investors Fight To Recover Their Losses Even as the US Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the FBI, state regulators and others have continued to investigate GPB Capital Holdings over allegations that it ran an up to $1.8B Ponzi scam, the alternative asset firm and its affiliated companies were able to secure between $3M and $7M in Paycheck Protection Program (PPP) loans following the… [read post]
11 Jul 2020, 3:43 am
As recently reported in part in "Bridgewater Associates found to have 'manufactured' false evidence against ex-employees" (Reuters)https://www.reuters.com/article/us-usa-hedgefunds-bridgewater-court/bridgewater-associates-found-to-have-manufactured-false-evidence-against-ex-employees-idUSKCN24F009 :The hedge fund, founded by billionaire Ray Dalio, was found to have "filed its claims in reckless disregard of its own internal records, and in order to support its… [read post]
11 Jul 2020, 3:43 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5325/securities-industry-commentator/Charles Schwab says retail trading kept booming in second quarter amid market comeback (CNBC by Maggie Fitzgerald)The Futility of Futility On Display in FINRA Expungement Dispute (BrokeAndBroker.com Blog)CFTC Charges Georgia Company and Florida Residents with Precious Metals Fraud and Misappropriation of… [read post]
11 Jul 2020, 3:43 am
Bridgewater Associates found to have 'manufactured' false evidence against ex-employees (Reuters)COVID-19 claims the lives of four Broadridge employees and two of its subcontractor's staff, while another contractor's policies exposed workers, raising questions about SEC 'essential work' rules / The New York-based proxy administrations and technology giant of 10,000-employees blames outsourcers for not abiding by its standards for health, safety; others wonder whether… [read post]
11 Jul 2020, 3:43 am
The Futility of Futility On Display in FINRA Expungement Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5316/FINRA-SEC-Expungement-Graham/In a recent SEC Opinion, we are presented with an individual who says that he didn't file a FINRA Arbitration Statement of Claim seeking expungement because FINRA routinely rejects claims such as his as "ineligible. [read post]
11 Jul 2020, 3:43 am
Bridgewater Over Troubled FINRA Waters (BrokeAndBroker.com Blog)Goldman Sachs profit rises on trading, underwriting boost (Reuters)Wells Fargo shares tumble 8% after posting $2.4 billion loss, dividend slashed to 10 cents (CNBC by Hugh Son)JPMorgan shares jump after record trading revenue drives stronger-than-expected second quarter profit (CNBC by Hugh Son)SEC Charges Wind Turbine Company and Individuals With Defrauding Investors (SEC Release)... [read post]
10 Jul 2020, 1:46 pm
At times relevant to perpetrating his criminal scheme, Kiffmeyer was a registered representative and financial advisor for FINRA broker/dealer Brokers International Financial Services, LLC. [read post]
10 Jul 2020, 1:05 pm
” For failing to respond to FINRA request for information. [read post]
10 Jul 2020, 12:58 pm
FINRA awarded six investors $1.1 million and fined the firm $675,000. [read post]
10 Jul 2020, 11:48 am
Fortunately, FINRA provides an arbitration forum for investors to resolve such disputes. [read post]
10 Jul 2020, 9:22 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
10 Jul 2020, 9:00 am
Faces Multiple FINRA Arbitration Claims by Investors Kerri Suzanne Jamison, a Newbridge Securities Corp. and Newbridge Financial Services Group stockbroker, is currently the subject of pending complaints by customers who claim they lost money because of investment recommendations she made. [read post]
