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29 Jun 2020, 7:11 am
Many clients are asking whether FINRA arbitration claims can be brought against a bank and/or its employees for losses sustained in their investment accounts. [read post]
29 Jun 2020, 6:36 am
Claims may be brought in securities arbitration before FINRA. [read post]
29 Jun 2020, 6:35 am
Claims may be brought in securities arbitration before FINRA. [read post]
27 Jun 2020, 9:32 am
According to FINRA settlement, clients lost more than $373,000 during that period. [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]
27 Jun 2020, 2:54 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5302/securities-industry-commentator/Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer) (SEC Release)Manhattan apartment sales worst on record, biggest plunge in 30 years (CNBC by Robert Frank)U.S. farmers scramble for help… [read post]
27 Jun 2020, 2:54 am
$25,000 E*Trade Pattern Day Trading Minimum Deposit Requirement Challenged in Federal Lawsuit Against FINRA (BrokeAndBroker.com Blog)Citi Pulls Back on Plans for Office Return in 13 States (Bloomberg by Jennifer Surane)SEC Obtains Judgment Ordering Connecticut Investment Adviser and Its Former CEO to Pay Over $2 Million (SEC Release)Bergen County Man Arrested in $1.5 Million Investment Fraud Scheme (DOJ Release)SEC Charges New Jersey Man and His Private Company with Fraud (SEC Release)U.S. [read post]
27 Jun 2020, 2:54 am
Why didn't FINRA settle this case on that basis? [read post]
26 Jun 2020, 9:11 am
We represent investors in FINRA arbitration claims in all 50 states, including Maryland. [read post]
25 Jun 2020, 8:24 am
Claims may be brought in securities arbitration before FINRA. [read post]
25 Jun 2020, 8:11 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
24 Jun 2020, 1:21 pm
The broker-dealer fired him last year and the Financial Industry Regulatory Authority (FINRA) barred him in January. [read post]
24 Jun 2020, 1:00 pm
” The broker-dealer reportedly agreed to pay a $1.55 million civil penalty to resolve the SEC’s charges and separately agreed to pay $1.55 million to the Financial Industry Regulatory Authority (FINRA) to resolve parallel charges, according to the press announcement. [read post]
24 Jun 2020, 10:52 am
Lowers Net Asset Value The White Law Group continues to investigate FINRA arbitration claims involving non-traded REITs such as Corporate Property Associates 18 – Global Inc. [read post]
24 Jun 2020, 10:46 am
In Liu v. [read post]
24 Jun 2020, 8:49 am
Suspends Distributions The White Law Group continues to investigate FINRA arbitration claims involving non-traded REITs such as Lightstone Real Estate Income Trust, Inc. [read post]
24 Jun 2020, 6:32 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
24 Jun 2020, 6:32 am
Claims may be brought in securities arbitration before FINRA. [read post]
24 Jun 2020, 6:29 am
This discharge from his position with the company came eight days after he signed an AWC with FINRA. [read post]
24 Jun 2020, 6:29 am
This discharge from his position with the company came eight days after he signed an AWC with FINRA. [read post]
