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1 May 2020, 10:43 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
1 May 2020, 10:16 am
(“FINRA”) sanctioned Pizzuti by fining him and suspending him from association with FINRA members. [read post]
1 May 2020, 9:54 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
1 May 2020, 9:37 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
1 May 2020, 7:20 am
On June 14, 2019, the Financial Industry Regulatory Authority (FINRA) reportedly barred Merhoff from associating with any FINRA member at any time. [read post]
1 May 2020, 6:22 am
Wunderlich Files Motion to Vacate FINRA Arbitration Citing Zoom HearingWunderlich Securities, Inc. and Gary Wunderlich, Petitioners, v. [read post]
1 May 2020, 6:22 am
At issue in today's case is Investacorp's termination of a rep who was the subject of two FINRA investigations. [read post]
1 May 2020, 6:22 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5204/securities-industry-commentator/FINRA Posts Disclaimer of Its Role in Recent Arbitration DecisionsBridget Anne Kelly, Petitioner, v. [read post]
1 May 2020, 6:22 am
In a recent FINRA regulatory settlement, we come across a member firm that can't get its supervisory act together. [read post]
30 Apr 2020, 6:20 am
” FINRA is the regulatory body overseeing brokerage firms and registered representatives employed by them. [read post]
29 Apr 2020, 11:57 am
Scott represents clients throughout the U.S. and elsewhere in the world in litigation and in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA), the National Futures Association (NFA), and the American Arbitration Association (AAA). [read post]
29 Apr 2020, 11:45 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
29 Apr 2020, 7:17 am
Fox, an Austin, TX-based registered representative, has been accused by at least one customer, who already filed a Financial Industry Reguinveslatory Authority (FINRA) claim, of not performing the proper due diligence before recommending that the claimant invest over $2M in retirement funds in illiquid, poor quality alternative investments. [read post]
28 Apr 2020, 12:29 pm
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. [read post]
28 Apr 2020, 9:42 am
Arbitration at FINRA has long been known as a quicker, more efficient alternative to court litigation of disputes eligible for submission to FINRA’s Dispute Resolution forum. [read post]
28 Apr 2020, 8:26 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve disputes. [read post]
28 Apr 2020, 6:42 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
28 Apr 2020, 6:34 am
The firm represents investors in FINRA arbitration claims throughout the country. [read post]
27 Apr 2020, 1:45 pm
This week’s FINRA settlements report AWC’s in which FINRA hit two FAs for some misguided efforts toward good customer service. [read post]
27 Apr 2020, 11:47 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. [read post]
