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3 Apr 2020, 4:14 pm
FINRA. [read post]
3 Apr 2020, 11:31 am
The White Law Group represents investors throughout the country in FINRA arbitrations against brokerage firms like Wells Fargo. [read post]
3 Apr 2020, 11:19 am
If so, The White Law Group may be able to help you recover your losses by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
3 Apr 2020, 10:16 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
3 Apr 2020, 8:21 am
Instead, he stated that the SEC’s Office of Compliance Inspections and Examinations as well as FINRA are finalizing plans for examinations to take place (we suppose the exams will be virtual given the stay at home orders), and that, in his humble opinion, firms are well on their way to ensuring compliance. [read post]
3 Apr 2020, 2:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5155/securities-industry-commentator/COVID-19 throws a curve ball at RIA M&A market, gut-punching valuations and causing fence-sitters to resolve to get the hell out, but Q1 prices hold their own / M&A rainmakers hedge their bets on how deep COVID-19 will drive cuts to RIA sale prices, although first quarter market has been stable (RIABiz by Oisin… [read post]
3 Apr 2020, 2:27 am
It Ain't Over Till It's Over As Martinovich Appeals Continue (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5161/martinovich-appeal/About a decade ago in 2011, FINRA barred Jeffrey A. [read post]
3 Apr 2020, 2:27 am
Personal note from Bill Singer -- Not the time for FINRA to ZOOM through witnesses' rightsChris Cuomo: Here's the secret to kicking this virus (CNN / Cuomo Prime Time)Woman charged with falsely claiming officer accessed her bank account from International Space Station (DOJ Release)Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data (SEC Release)Protect Your Wallet -- and Your Health -- from Pandemic Scammers / FBI Exec Discusses… [read post]
3 Apr 2020, 2:27 am
FINRA Statement on SEC's OCIE Risk Alerts for Reg BI and Form CRS (FINRA Release)The Fed is lifting Wells Fargo's asset cap so it can help lend to small business (CNBC by Jeff Cox)Farmers Are Panic-Buying to Keep America’s 95 Million Cows Fed / Fears of feed mill closures and trucking delays are driving the market. [read post]
3 Apr 2020, 2:27 am
FINRA member firm Newport Coast Securities, Inc. was charged in part with failing to reasonably supervise. [read post]
2 Apr 2020, 4:14 pm
DeWaal was joined by Carol Wooding, Senior Vice President, General Counsel, National Futures Association (NFA) and Bill Wollman, Executive Vice President, Office of Financial and Operational Risk Policy, Financial Industry Regulatory Authority (FINRA), together with Katten Muchin Rosenman subject area specialists, Carl Kennedy (futures and derivatives), Susan Light (securities), and Julie Gottshall (labor and employment). [read post]
2 Apr 2020, 3:06 pm
FINRA findings found that the firm was allegedly “failed to reasonably supervise a former registered representative who excessively traded equity positions in accounts belonging to an elderly customer” (FINRA March 2020 Disciplinary Actions). [read post]
2 Apr 2020, 1:49 pm
FINRA Arbitration Claims To Recover ETN Losses Investors may be able to recover losses from UBS ETRACS ETNs through FINRA’s arbitration forum. [read post]
2 Apr 2020, 12:20 pm
Fortunately for investors, FINRA provides an arbitration forum for investors to resolve disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they can be found liable for investment losses in a FINRA arbitration claim. [read post]
2 Apr 2020, 12:00 pm
Fortunately for investors, FINRA provides an arbitration forum for investors to resolve disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they can be found liable for investment losses in a FINRA arbitration claim. [read post]
2 Apr 2020, 9:35 am
Fortunately for investors, FINRA provides an arbitration forum for investors to resolve disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they can be found liable for investment losses in a FINRA arbitration claim. [read post]
2 Apr 2020, 7:49 am
Fortunately for investors, FINRA provides an arbitration forum for investors to resolve disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they can be found liable for investment losses in a FINRA arbitration claim. [read post]
2 Apr 2020, 6:40 am
Fortunately for investors, FINRA provides an arbitration forum for investors to resolve disputes and if a broker or brokerage firm makes an unsuitable investment recommendation or fails to adequately disclose the risks associated with an investment they can be found liable for investment losses in a FINRA arbitration claim. [read post]
1 Apr 2020, 8:24 am
If your broker or financial advisor sold you a leveraged ETF or ETN, you may be able to recover losses through a FINRA arbitration claim. [read post]
1 Apr 2020, 8:18 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
