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9 Mar 2020, 10:42 am
” What to Do If You Find Yourself Facing Yield Enhancement Strategy Losses If you are an individual investor who has suffered a loss due to a UBS YES or an iron condor investment, financial compensation may be available through FINRA arbitration. [read post]
6 Mar 2020, 1:58 pm
We represent investors in FINRA arbitration claims in all 50 states. [read post]
6 Mar 2020, 12:26 pm
The firm represents investors throughout the country in FINRA arbitration claims against their brokerage firm. [read post]
6 Mar 2020, 9:52 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
6 Mar 2020, 8:06 am
For FINRA’s full findings see FINRA Case #2017052543601. [read post]
6 Mar 2020, 5:12 am
However, the firm has come under scrutiny, with a hefty fine by the Financial Industry Regulatory Authority (FINRA) in December 2019 for certain violations, as well as a number of technical glitches that have affected investors. [read post]
6 Mar 2020, 1:30 am
In the Matter of Benjamin Kaz Fujihara, Respondent (FINRA AWC)FINRA Imposes Fine and Suspension for Rep's Acceptance of Referral Fees. [read post]
6 Mar 2020, 1:30 am
How does that rise to the level of a FINRA fine and suspension? [read post]
6 Mar 2020, 1:30 am
Fidelity Brokerage Services LLC, Respondent (FINRA Arbitration Decision)... [read post]
6 Mar 2020, 1:30 am
In the Matter of FINRA Department of Enforcement, Complainant, vs. [read post]
5 Mar 2020, 8:28 am
FINRA, et al., Case No. 19-cv-154), which granted FINRA’s motion to dismiss on February 24, 2020. [read post]
4 Mar 2020, 12:48 pm
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
4 Mar 2020, 12:02 pm
A FINRA arbitration panel has ordered Stifel Nicolaus & Company, Incorporated to pay more than $1.5 million to four customers who claimed that their Financial Advisor, Kenneth Blumberg (CRD# 1585520) unsuitably concentrated their portfolios in biotechnology and healthcare stocks at levels exceeding 80%. [read post]
4 Mar 2020, 7:27 am
Glen frequency represents clients in connection with SEC and FINRA enforcement proceedings and other contentious regulatory inquiries, purchases and sales, and the preparation and negotiation of common industry agreements. [read post]
4 Mar 2020, 5:44 am
During his investigation by FINRA, Erik Pica allegedly did not comply with FINRA staff as he provided false and misleading during the examination of his Joseph Stone’s branch office and even during his on-the-record testimony, the complaint states. [read post]
4 Mar 2020, 5:44 am
During his investigation by FINRA, Erik Pica allegedly did not comply with FINRA staff as he provided false and misleading during the examination of his Joseph Stone’s branch office and even during his on-the-record testimony, the complaint states. [read post]
3 Mar 2020, 2:33 pm
If it can be determined that Lincoln Financial Advisors violated FINRA rules, it can be held responsible for any resulting losses in a FINRA arbitration claim. [read post]
3 Mar 2020, 11:58 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
3 Mar 2020, 10:29 am
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
2 Mar 2020, 9:38 am
Fortunately, FINRA provides an arbitration forum for investors to resolve such disputes. [read post]
