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1 Apr 2020, 7:51 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
1 Apr 2020, 6:27 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
31 Mar 2020, 3:41 pm
Credit Suisse Securities (USA) LLC, FINRA No. 17-01489. [read post]
31 Mar 2020, 12:38 pm
Although the firm did not admit or deny the findings of FINRA, they did consent to the sanctions. [read post]
31 Mar 2020, 8:07 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]
31 Mar 2020, 7:16 am
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through FINRA Arbitration. [read post]
31 Mar 2020, 6:48 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]
31 Mar 2020, 6:40 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]
31 Mar 2020, 6:22 am
According to FINRA Disciplinary actions for March 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Michael Bressman FCG Advisors, LLC Mary Ann Dineen UBS Financial Services Inc. [read post]
31 Mar 2020, 6:13 am
According to FINRA Disciplinary actions for March 2020, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barry Carson Farmers Financial Solutions Lynn Cawthorne Cambridge Investment Research, Inc. [read post]
31 Mar 2020, 6:02 am
According to FINRA Disciplinary actions for March 2020, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Eric Abrahams Burch & Company, Inc. [read post]
31 Mar 2020, 6:00 am
First, the results of our novel study provide a more granular picture of customer experiences in the FINRA forum. [read post]
31 Mar 2020, 5:00 am
Aun cuando nosotros, al igual que ustedes, nos adherimos a las nuevas directrices establecidas para prevenir la propagación del COVID-19, nuestros abogados y el resto de nuestro equipo se mantienen trabajando arduamente preparando, a nombre de nuestros clientes, reclamaciones de arbitraje ante la Autoridad Reguladora de la Industria Financiera (FINRA) en contra de corredores, asesores financieros, y sus firmas. [read post]
31 Mar 2020, 5:00 am
Continue Reading › The post What To Know About Suing Your Broker or Investment Adviser For Fraud In FINRA Arbitration During COVID-19 appeared first on Investor Lawyers Blog. [read post]
30 Mar 2020, 2:22 pm
SEC, FINRA and state regulators have been sanctioning firms for failing to supervise the sale and/or recommendation of inverse or leveraged ETFs since approximately 2009, when FINRA issues an investor alert on the subject. [read post]
30 Mar 2020, 6:36 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]
27 Mar 2020, 2:05 pm
Reyes (CRD #4256834, Miami, Florida) was fined $4,009,000 plus interest, in restitution to clients and was barred from association with any FINRA member in all capacities. [read post]
27 Mar 2020, 12:05 pm
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]
27 Mar 2020, 11:31 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]
27 Mar 2020, 10:56 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]
