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8 May 2020, 9:25 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
8 May 2020, 7:33 am
FINRA rules prohibit brokers from borrowing money from customers unless permitted by the firm and written firm procedures are followed. [read post]
8 May 2020, 6:42 am
The SEC, FINRA, and NASAA all warn about issues related to these non-traded REITs. [read post]
8 May 2020, 6:31 am
In a recent FINRA Intra-Industry Arbitration case, we see the shadow of COVID cast a long and dark presence over our industry. [read post]
8 May 2020, 6:31 am
FINRA Arbitrators Award Severance to Former Barclays Employee (BrokeAndBroker.com Blog)How Citigroup, Morgan Stanley Are Returning to Offices in Asia (Bloomberg by Cathy Chan and Alfred Liu)The Work-From-Home Trader Who Shook Global Markets / A new book reveals fresh details about the man authorities blamed for the Flash Crash that erased $1 trillion of value in a matter of minutes. [read post]
8 May 2020, 6:31 am
SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Fraternal Benefit Society Short-cutIn the Matter of Robert Nordaune, Respondent (FINRA AWC)CityMD… [read post]
8 May 2020, 3:02 am
If so, The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
8 May 2020, 1:04 am
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses through FINRA Arbitration. [read post]
7 May 2020, 12:58 pm
We believe that the SEC, FINRA, and the various states could begin to review these firms for cybersecurity issues as early as this summer. [read post]
7 May 2020, 10:23 am
If so, The White Law Group may be able to help by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
7 May 2020, 9:51 am
” According to his FINRA BrokerCheck report, Woods was registered with LPL Financial from 2010 until 2017. [read post]
7 May 2020, 7:40 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
7 May 2020, 6:59 am
Benson’s email to FINRA staff allegedly stated that he would not produce the requested documents, for which the industry’s self-regulator barred him, FINRA says. [read post]
7 May 2020, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5215/securities-industry-commentator/SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent… [read post]
7 May 2020, 5:25 am
(Jim Kennedy) after he allegedly failed to provide information in FINRA’s investigation. [read post]
6 May 2020, 11:27 am
The Securities and Exchange Commission today issued an order directing the equity exchanges and the Financial Industry Regulatory Authority (FINRA) (the participants) to submit a new National Market System plan (NMS plan) with a modernized governance…Read the Full Press ReleaseHave a securities law question? [read post]
6 May 2020, 10:41 am
In recent years, the Securities and Exchange Commission (SEC) and FINRA have issued warnings and guidance on REITs, pointing to unreasonably and unfairly high commissions and fees, lack of transparency, and lack of liquidity. [read post]
6 May 2020, 9:12 am
These claims are frequently submitted to FINRA which administers the largest arbitration forum for investor disputes. [read post]
6 May 2020, 6:29 am
Claims may be brought in securities arbitration before FINRA. [read post]
6 May 2020, 6:29 am
Our firm brings claims on behalf of investors before FINRA securities arbitration. [read post]
