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6 Sep 2023, 9:01 pm
For each transaction, the executing broker for the buyer, the executing broker for the seller, and the relevant exchange or FINRA will split the CAT fee three ways. [read post]
5 Sep 2023, 8:38 pm
Tokyo Couple Suffers Northstar (Bermuda) Losses While Working With Bankoh Investment Services Foreign Nationals File Six-Figure FINRA Lawsuit Against US Brokerage Firm Shepherd Smith Edwards and Kantas, Securities Law Services (investorlawyers.com) have filed yet another Northstar Financial Services (Bermuda) investment loss claim against Bank of Hawaii affiliate Bankoh Investment Services. [read post]
5 Sep 2023, 2:43 pm
Accordingly, FINRA posted the arbitration award online…. [read post]
3 Sep 2023, 8:40 am
Rodgers failed to appear for related on the record testimony, and he and FINRA agreed to a sanction of a bar from registering with FINRA securities Broker-Dealers. [read post]
1 Sep 2023, 1:42 pm
One option for investors is a FINRA arbitration action against the broker-dealers who sold them the L-Bonds and other interests in Beneficient. [read post]
1 Sep 2023, 8:11 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to file a new national market system plan (NMS plan) to replace the three existing…Read the Full Press Release Have a securities law question? [read post]
1 Sep 2023, 7:47 am
Investors with losses with a FINRA-registered broker dealer can submit a claim to the FINRA arbitration process. [read post]
1 Sep 2023, 6:44 am
In a previous disclosure in Saw’s FINRA record, Saw took voluntary resignation from her employment with Cetera Investment Services on 5/31/21. [read post]
1 Sep 2023, 6:07 am
Prior to the Illinois action, FINRA suspended Roberts from 3/15/2010 through 4/11/2010 and fined him $40,000. [read post]
30 Aug 2023, 10:18 am
(sometimes referred to below as “AHR”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
30 Aug 2023, 10:13 am
Morgan Stanley Smith Barney, LLC – FINRA Case No. 21-00203, click here. [read post]
30 Aug 2023, 7:25 am
FINRA Attorneys FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
29 Aug 2023, 12:32 pm
FINRA Attorneys The White Law Group represents investors in FINRA claims against their broker dealers. [read post]
29 Aug 2023, 10:18 am
.), may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
28 Aug 2023, 4:13 am
In May 2023, I called for a boycott of all 2023 FINRA elections. [read post]
28 Aug 2023, 4:13 am
JOIN TODAY -- FREE MEMBERSHIP DOJ x SEC x CFTC x FINRA x... [read post]
28 Aug 2023, 4:13 am
Case in Point In a FINRA Arbitration Statement of Claim filed in November 2021 and as amended, FINRA member firm Claimant Ameriprise Financial Service, Inc. asserted breach of promissory note and unjust enrichment. [read post]
28 Aug 2023, 4:13 am
The Hidden FINRA Arbitration Costs for Not Repaying a Promissory Note (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
27 Aug 2023, 7:49 pm
FINRA Attorneys The White Law Group represents investors in FINRA claims against their broker dealers. [read post]
25 Aug 2023, 11:47 am
FINRA Fines Woodbury Financial Services, Inc. [read post]
