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5 Jun 2020, 4:11 pm
FINRA found that Merrill Lynch’s ’s supervisory systems and procedures failed to ensure that certain customers received sales charge waivers and fee rebates that were available to them. [read post]
5 Jun 2020, 12:19 pm
FINRA Accuses SunTrust Investment Services of Failing to Properly Supervise Brokers The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust to pay $634K to settle charges accusing the broker-dealer of not properly supervising 17 of its brokers when they recommended that customers hold non-traditional exchange-traded funds (ETFs) for long periods–a practice that can lead to losses especially when there is market volatility. [read post]
5 Jun 2020, 7:48 am
If so, the securities attorneys at The White Law Group may be able to help you to recover your losses by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
5 Jun 2020, 1:52 am
According to Kolta’s Brokercheck report said principal is approximated to amount to $300,000, FINRA states. [read post]
5 Jun 2020, 1:52 am
According to Kolta’s Brokercheck report said principal is approximated to amount to $300,000, FINRA states. [read post]
4 Jun 2020, 1:11 pm
Firm alerts were designed to capture only recently executed mutual fund transactions while, in fact, fee waivers were available in connection with some fund purchases for up to a year after initial sales.Merrill Lynch neither admitted nor denied the charges, but consented to the entry of FINRA’s findings.See FINRA's full press release. [read post]
4 Jun 2020, 12:02 pm
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
4 Jun 2020, 10:47 am
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
4 Jun 2020, 10:31 am
Bank of America to pay $7.23 million in Restitution to Clients FINRA Sanctions Bank of America for Overcharging Customers on Mutual Funds According to the Financial Industry Regulatory Authority (FINRA) this week, Bank of America Corp. agreed to pay $7.23 million in restitution and interest to settle the regulator’s allegations that it overcharged customers on mutual funds. [read post]
4 Jun 2020, 8:18 am
We represent investors in FINRA arbitration claims in all 50 states, including Kansas. [read post]
4 Jun 2020, 7:57 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
3 Jun 2020, 12:28 pm
If you have suffered losses in UBS ETRACS leveraged ETN investments, you may be eligible to recover your losses through FINRA arbitration. [read post]
3 Jun 2020, 9:46 am
Fired Wells Fargo Representative is Barred by FINRA The Financial Industry Regulatory Authority (FINRA) announced this month that it is barring former Wells Fargo Advisors Financial Network broker, Leonard Charles Kinsman, from the industry. [read post]
3 Jun 2020, 9:42 am
We represent investors in FINRA arbitration claims in all 50 states, including California. [read post]
2 Jun 2020, 1:37 pm
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
2 Jun 2020, 12:50 pm
It is possible that they could be found liable for investment losses in a FINRA arbitration claim. [read post]
2 Jun 2020, 11:16 am
Recovering UBS YES Losses Through FINRA Dispute Resolution FINRA (the Financial Industry Regulatory Authority) operates a dispute resolution forum where non-judicial arbitration and mediation can resolve securities-related disputes between investors and brokerage firms and brokers. [read post]
2 Jun 2020, 10:33 am
A supervisory system that cannot reasonably surveil and detect trades that violate securities laws and deceptive trade practices does not meet FINRA’s minimum requirement of proper supervision. [read post]
2 Jun 2020, 8:45 am
At the same time, Schwartz’s trading allegedly “generated gross sales credits and commissions of approximately $277,705, of which he received more than $194,000,” according to FINRA. [read post]
2 Jun 2020, 7:42 am
He has 1 customer complaint reportedly pending from 2019, according to FINRA. [read post]
