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24 Apr 2020, 5:21 am
FINRA Baseball Caps, Rice Krispies Treats, Hiring Spree, and ZOOM OTRs(BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5197/FINRA-Zoom-OTR/FINRA's senior management and Board of Governors have not responded in a compassionate manner to Staff efforts to compel teleconferenced OTRs or hearings. [read post]
24 Apr 2020, 5:21 am
If You Sent This Man To Receive Your Fund (Email from an idiot to me)Damages Awarded in Form U5 Defamation Case Against Allstate (BrokeAndBroker.com Blog)Eighth Circuit Upholds Determination that Wells Fargo is Liable for Penalties for Engaging in Abusive Tax Shelter Scheme (DOJ Release)SEC Charges Two California Charter School Officials with Misleading Investors in Bond Offering (SEC Release)Wall Street Quants Are Turning Their Skills to the Virus Fight (Bloomberg by Justina Lee)FINRA… [read post]
23 Apr 2020, 3:49 pm
Aligns with FINRA. [read post]
23 Apr 2020, 12:39 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
23 Apr 2020, 12:18 pm
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
23 Apr 2020, 12:08 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
23 Apr 2020, 7:55 am
Continue Reading › The post Frontier Communications Bonds Purchased From FMSBonds May Have Grounds for FINRA Arbitration Claim appeared first on Investor Lawyers Blog. [read post]
22 Apr 2020, 6:56 pm
Our attorneys have extensive experience representing investors and wrongfully terminated stockbrokers in FINRA arbitration claims that can progress on parallel tracks with an SEC Whistleblower claim. [read post]
22 Apr 2020, 6:30 pm
This condition, according to the SEC, is appropriate because FINRA CAT (which was created after FINRA was selected as the new CAT NMS plan processor) has been clear that it will be prepared to accept data from any Industry Member that has completed onboarding and certification. [read post]
22 Apr 2020, 5:01 pm
FINRA findings found that Dash Financial Technologies LLC allegedly: “transmitted inaccurate Reportable Order Events (ROEs) to the Order Audit Trail System (OATS™) Continue reading [read post]
22 Apr 2020, 11:35 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim. [read post]
21 Apr 2020, 10:17 pm
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]
21 Apr 2020, 3:48 pm
Continue reading The post Hospitality Investors Trust Investors May Have FINRA Arbitration Claims appeared first on Investor Lawyers Blog. [read post]
21 Apr 2020, 11:58 am
A FINRA arbitration panel has ordered Stifel, Nicolaus & Co. and one of their financial advisors to pay a client $800,000.oo for her claim of “being hoodwinked about allowing money to be withdrawn from accounts she held with her estranged husband. [read post]
21 Apr 2020, 9:57 am
The Financial Industry Regulatory Authority (“FINRA”) also stated that it would take the same approach in its examinations of broker-dealers and their associated persons for compliance with Reg BI. [read post]
21 Apr 2020, 9:14 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim. [read post]
20 Apr 2020, 5:16 pm
Investors in ICON Equipment and Corporate Infrastructure Fund Fourteen, LP (“ICON 14”) may be able to recover investment losses through FINRA arbitration. 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]
17 Apr 2020, 4:10 pm
Investors in Strategic Realty Trust (“SRT”) 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. [read post]
17 Apr 2020, 3:08 pm
(CFLP), which is not a member of FINRA. [read post]
17 Apr 2020, 8:33 am
If so, the securities attorneys at The White Law group may be able to help you to recover your losses through FINRA Arbitration. [read post]
