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23 Mar 2020, 8:14 am
Continue reading › The post FINRA BARS FA JAMES DAUGHTRY FOR FAILING TO COOPERATE WITH THE REGULATOR appeared first on FINRA Lawyer Blog. [read post]
23 Mar 2020, 7:40 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
23 Mar 2020, 7:28 am
According to FINRA, protecting investors means protecting their information, too. [read post]
23 Mar 2020, 7:19 am
”FINRA Sympathetic but Compliance Must Be Upheld FINRA understands that the use of remote offices or telecommuting during a virus may require a member company to put in place other ways to monitor its associated persons, but it is the responsibility of the organizations themselves to ensure that compliance standards are uphold in order to protect investors from abuses of various kinds -- including everything from broker misconduct to cyber-fraud.Pennsylvania & New… [read post]
23 Mar 2020, 7:11 am
On Monday, FINRA guided brokerage firms on business continuity plans. [read post]
23 Mar 2020, 6:56 am
Claims may be brought in securities arbitration before FINRA. [read post]
23 Mar 2020, 6:49 am
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
22 Mar 2020, 5:51 pm
Continue reading › The post RESPONDING TO A SUBPOENA FROM THE CFTC appeared first on FINRA Lawyer Blog. [read post]
20 Mar 2020, 3:19 pm
Continue reading › The post FEDERAL COURT EXPANDS THE DEFINITION OF “CUSTOMER” FOR PURPOSES OF COMPELLING FINRA ARBITRATION appeared first on FINRA Lawyer Blog. [read post]
20 Mar 2020, 12:37 pm
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
20 Mar 2020, 11:23 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
20 Mar 2020, 10:48 am
In response to the outbreak of COVID-19, FINRA has announced that most FINRA staff will be working remotely, but will utilize remote work capabilities to remain “fully operational. [read post]
20 Mar 2020, 10:35 am
Kozak, Cetera Advisors, Highlands Ranch, CO FINRA Reportedly Suspends Advisor Scott P. [read post]
20 Mar 2020, 8:10 am
Daughtry, Kestra Investment Services, Dothan, AL FINRA Reportedly Bars Advisor James B. [read post]
20 Mar 2020, 7:06 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]
20 Mar 2020, 5:17 am
This was settled for $200,00, FINRA states. [read post]
20 Mar 2020, 5:17 am
This was settled for $200,00, FINRA states. [read post]
20 Mar 2020, 12:47 am
Justice Department Files Its First Enforcement Action Against COVID-19 Fraud / Federal Court Issues Temporary Restraining Order Against Website Offering Fraudulent Coronavirus Vaccine (DOJ Release) SEC Emergency Action Stops Digital Asset Scam / Defendants Claimed Expected Returns of Up to 224,923% (SEC Release)Traders Dread Getting Sent Home as Markets Move Faster Than WiFi (Bloomberg.com by Liz McCormick, Lananh Nguyen, and Stefania Spezzati)Stocks can return to records early next year if the US… [read post]
20 Mar 2020, 12:47 am
And then the customers entered into a stipulated dismissal of their FINRA claims. [read post]
19 Mar 2020, 11:06 am
Zamansky LLC has filed FINRA arbitration cases for investors located across the United States seeking to recover YES losses from UBS. [read post]
