Search for: "Financial Industry Regulatory Authority"
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8 Mar 2018, 1:55 pm
Retail and institutional investors have borrowed a record $642.8 billion against their portfolios as they try to pocket bigger gains by ramping up exposure to stocks, according to a recent alert from the Financial Industry Regulatory Authority, or FINRA. [read post]
8 Mar 2018, 6:57 am
The Financial Industry Regulatory Authority (FINRA) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
8 Mar 2018, 6:44 am
Senator Warren wants to make FINRA Accountable for Unpaid Arbitration Awards According to reports, Senator Elizabeth Warren (D – Mass.) recently introduced legislation that would require the Financial Industry Regulatory Authority (FINRA) to create a pool to cover unpaid FINRA awards using money collected from penalties FINRA collects from its member firms. [read post]
8 Mar 2018, 5:46 am
Compensation for Cheated Investors Act Yesterday, Senator Warren introduced legislation that would require the Financial Industry Regulatory Authority (FINRA) to use its authority to compensate investors for unpaid arbitration awards against FINRA members. [read post]
8 Mar 2018, 5:26 am
As recently disclosed by the Financial Industry Regulatory Authority (“FINRA”), former Morgan Stanley (CRD# 149777) financial advisor, Kevin Scott Woolf (CRD# 6145312), has voluntarily consented to an industry bar. [read post]
7 Mar 2018, 10:31 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), A customer alleged in June 2016 that Nicolas engaged in unsuitable investments and churning and alleged failure to supervise on the part of Garden State Securities, Inc. [read post]
7 Mar 2018, 9:34 am
Murphy was suspended for one month from the industry and fined $5,000 by the Financial Industry Regulatory Authority (FINRA). [read post]
6 Mar 2018, 12:21 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded a customer of Christopher Bennett of Hillard Lyons damages of $445,000 after the claimant alleged Bennett engaged in breach of fiduciary duty, unauthorized trading, suitability, churning, misrepresentation, omission of facts, common law negligence, fraud, failure to supervise, common law negligent supervision and violation of Kentucky statutes, regulations and FINRA rules. [read post]
6 Mar 2018, 11:24 am
On February 16, 2018, the Financial Industry Regulatory Authority (“FINRA”) signed off on a Letter of Acceptance, Waiver, and Consent (“AWC”), pursuant to which financial advisor Darrell Walter Rideaux (CRD# 5211032), without admitting or denying any wrongdoing, voluntarily consented to a bar from working in the securities industry in any capacity. [read post]
6 Mar 2018, 5:23 am
According to the Financial Industry Regulatory Authority (FINRA), UBS allegedly failed to implement a reasonably designed system to identify and prevent unsuitable transactions in light of the unique economy of the territory. [read post]
5 Mar 2018, 3:55 pm
(“SRT”) may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their SRT 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 financial advisor. [read post]
5 Mar 2018, 1:35 pm
According to the Financial Industry Regulatory Authority (“FINRA”), Dillon’s FINRA BrokerCheck record shows a pending customer dispute alleging claims of unsuitable concentration in connection with the purchase of Puerto Rico municipal bonds. [read post]
5 Mar 2018, 1:29 pm
If so, the attorneys at Stoltmann Law Offices are interested in speaking with you about your options of bringing a claim against the firm in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. [read post]
5 Mar 2018, 1:28 pm
Financial Industry Regulatory Authority (FINRA) records indicate that Clayton, Missouri-based Arete Wealth Management broker Alvery Bartlett has been involved in pending or resolved customer disputes. [read post]
5 Mar 2018, 1:23 pm
FINRA Broker Disciplinary Action Report February 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
5 Mar 2018, 8:21 am
According to public records with the Financial Industry Regulatory Authority (FINRA), Leslie Koonce allegedly received regulatory sanctions against him. [read post]
4 Mar 2018, 5:40 am
In 2015, former Wells Fargo Advisors, LLC entry-level financial advisors Reagan Tucker, Benjamin Dooley, Marvin Glasgold, Livia Sappington, Ewa Kelly, and Patrick LaBorde filed putative class arbitrations before the Financial Industry Regulatory Authority (“FINRA”) and the American Arbitration Association (“AAA”) seeking unpaid overtime from Wells Fargo pursuant to the Fair Labor Standards Act (“FLSA”) and State wage and hour… [read post]
3 Mar 2018, 3:42 pm
Kaiser’s review of federal regulatory inspection, financial and staffing reports revealed that on average, facilities that did business with their jointly-owned firms had 8 percent fewer aides and nurses. [read post]
2 Mar 2018, 8:24 am
Investors in American Realty Capital New York City REIT (“ARC NYC REIT”), may have arbitration claims to be pursued before the Financial Industry Regulatory Authority (“FINRA”), if their ARC NYC REIT 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 broker or financial advisor. [read post]
2 Mar 2018, 5:32 am
For those of us involved with FINRA arbitration, we have the wisdom of Zager & Evans.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in November 2015, Claimant Ledermann, representing himself pro se, asserted breaches o... [read post]
