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23 Jun 2020, 8:42 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
23 Jun 2020, 6:19 am
Claims may be brought in securities arbitration before FINRA. [read post]
23 Jun 2020, 6:19 am
Claims may be brought in securities arbitration before FINRA. [read post]
22 Jun 2020, 1:20 pm
FINRA Says SagePoint Financial Brokers Unsuitably Recommended Early UIT Rollovers The Financial Industry Regulatory Authority (FINRA) is ordering SagePoint Financial to pay over $1.6M in fines and restitution after it executed over $895 million in unit investment trust (UIT) transactions that resulted in more than $17.2 million in sales charges. [read post]
22 Jun 2020, 6:48 am
In January 2018 FINRA barred Krumrey for failing to respond to FINRA’s requests for information. [read post]
22 Jun 2020, 6:48 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Davidson’s customer complaints alleges that Davidson recommended unsuitable investments in various investments such structured products and corporate debt among other allegations of misconduct relating to the handling of their accounts. [read post]
21 Jun 2020, 9:03 am
FINRA found that Kennedy provided partial but incomplete responses to FINRA’s requests and then subsequently ceased cooperating with the investigation. [read post]
21 Jun 2020, 8:35 am
However, federal securities laws and the FINRA rules require firms to monitor and supervise its employees in order to detect and prevent brokers from offering investments in this fashion. [read post]
20 Jun 2020, 1:50 am
Supreme Court Says Disgorgement Not Exceeding Wrongful Net Profits Is Permissible Relief (BrokeAndBroker.com Blog)Federal Court Says Put A Fork In It 'Cause This Lawsuit Against FINRA is Done! [read post]
20 Jun 2020, 1:50 am
Flynn, Petitioner (Opinion on Emergency Petition for a Writ of Mandamus, United States Court of Appeals for the District of Columbia Court)Gregory Acosta Hands FINRA an Earth Shattering, Precedent Setting, Historic, Stunning Defeat (BrokeAndBroker.com Blog)Day Traders Will Have Fun Until They Get Wiped Out / A handful might get rich while almost everyone else loses (Bloomberg by Noah Smith)Defendant Charged in Fraudulent ICO Ordered to Pay $450,000 (SEC Release)SEC Awards Whistleblower… [read post]
20 Jun 2020, 1:50 am
AND A FINRA FINE AND SUSPENSION!!! [read post]
20 Jun 2020, 1:50 am
AND A FINRA FINE AND SUSPENSION!!! [read post]
19 Jun 2020, 4:07 pm
For more information on The White Law Group, and its representation of investors in FINRA Arbitration claims, please visit www.WhiteSecuritiesLaw.com. [read post]
19 Jun 2020, 5:14 am
FINRA Revises Rules, Raises Fees for Expungement Expungement Costs for Financial Advisors is going up. [read post]
18 Jun 2020, 2:12 pm
” Possibilities for enterprises using a Knowledge Integration Platform like Onna include eDiscovery, information governance, enterprise search, archiving, compliance with data protection laws like GDPR and FINRA, monitoring for leaks of confidential data and building bespoke internal workflow apps using proprietary information. [read post]
18 Jun 2020, 1:49 pm
Investors who have losses from selling away may be eligible to recover their losses through FINRA arbitration. [read post]
17 Jun 2020, 2:05 pm
FINRA Arbitration Claim Filed A FINRA arbitration claim has been filed against Kestra Investment Services on behalf of an investor who was a client of James Daughtry. [read post]
17 Jun 2020, 1:49 pm
I NASD Rule 2310 was superseded by FINRA Rule 2111 on July 9, 2012. [read post]
17 Jun 2020, 1:18 pm
Our attorneys work closely with SEC receivers, FINRA arbitrators, and government regulators to help expose misconduct and recover money for our clients. [read post]
17 Jun 2020, 12:58 pm
” The post FINRA Issues Warning: Pandemic Volatility Highlights Oil-Linked ETPs Unsuitable for Some Investors appeared first on Samuels Yoelin Kantor LLP.. [read post]
