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27 Mar 2020, 6:51 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
26 Mar 2020, 1:47 pm
( FINRA Disciplinary Actions March 2020). [read post]
26 Mar 2020, 1:42 pm
The fine was shared proportionally between FINRA and the exchanges. [read post]
26 Mar 2020, 1:33 pm
FINRA found that the firm underwent system-wide coding related issues that caused them to exclude certain foreign-listed securities from its short interest submissions to FINRA. [read post]
26 Mar 2020, 12:09 pm
With 30 years of dealing with FINRA, he probably knows the answer. [read post]
26 Mar 2020, 12:07 pm
With 30 years of FINRA arbitration experience in over 600 arbitrations, he probably knows the answer. [read post]
26 Mar 2020, 8:28 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]
26 Mar 2020, 7:20 am
FINRA is temporarily extending the period for submitting fingerprint information under FINRA Rule 1010(d). [read post]
25 Mar 2020, 2:02 pm
(“Energy 11”) 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]
25 Mar 2020, 12:27 pm
Vietor, CFD Investments, Dallas, TX FINRA Reportedly Bars Advisor Dana B. [read post]
25 Mar 2020, 11:41 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]
25 Mar 2020, 11:33 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]
25 Mar 2020, 11:06 am
High Dividend Low Volatility ETN (HDLV), you may be able to recover your losses through FINRA arbitration. [read post]
25 Mar 2020, 10:51 am
The traditional retirement portfolio of stocks and bonds is down 20% for only the fourth time since WWII (CNBC by Michael Santoli)A food crisis looms as coronavirus forces farms to stay idle and countries hoard supplies (CNBC by Huileng Tan)Coronavirus hits already struggling US farmers: 'We've stopped saying it can't get worse' (CNBC.com by Emma Newburger)Federal Courts Okay FINRA Unexplained Arbitration Decision (BrokeAndBroker.com Blog)SEC Division of Trading and… [read post]
25 Mar 2020, 10:51 am
There are those who defend FINRA's system of mandatory public and intra-industry arbitration. [read post]
25 Mar 2020, 10:51 am
" 2017 FINRA ClaimIn a FINRA Arbitration Statement of Claim filed in August 2017, public customer Claimant Kenneth Ebbe asserted violation of federal and state laws; negligence; breach of... [read post]
25 Mar 2020, 10:51 am
China’s Divorce Spike Is a Warning to Rest of Locked-Down World / Filings started rising in March as couples emerged from quarantine (Bloomberg by Sheridan Prasso)Former Investment Banker Found Liable in International Insider Trading Scheme (SEC Release)SEC Awards $450,000 to Whistleblower (SEC Release)Federal Courts Reject FINRA Arbitrators' Manifest Disregard in Respondeat Superior Case (BrokeAndBroker.com Blog)Georgia Man Arrested for Orchestrating Scheme to Defraud… [read post]
25 Mar 2020, 10:51 am
Lamkin, Respondent (FINRA AWC)... [read post]
25 Mar 2020, 10:51 am
[In]Securities Guest Blog: Breathless by Aegis Frumento Esq (BrokeAndBroker.com Blog)Business in the Time of COVID-19: BCPs, Regulatory Relief & More (FINRA Unscripted)SEC Obtains Judgment Against Promoter Who Fraudulently Raised $3 Million for Christian Concerts / Highlights Issue of Fraud in Faith-Based Communities (SEC Release)FINRA Imposes Fine and Suspension for Misuse of Morgan Stanley AFG Account. [read post]
25 Mar 2020, 10:50 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]
