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30 Jan 2020, 12:46 am
Court Rejects Late Breaking Wisdom As Too Late in FINRA Arbitration Appeal (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/5052/finra-public-arbitrators/In a recent FINRA Arbitration, an associated person Claimant sued his former firm and lost. [read post]
29 Jan 2020, 2:39 pm
If you were referred to TCA by a FINRA-registered broker, you may be able to recover your losses through FINRA arbitration. [read post]
29 Jan 2020, 12:15 pm
Such investment advisors are often small SEC Registered Investment Advisors (“RIA”s) who are thinly capitalized and have supervisory systems that are well below FINRA broker dealer standards. [read post]
29 Jan 2020, 11:03 am
We represent investors in FINRA arbitration claims in all 50 states, including Wisconsin. [read post]
29 Jan 2020, 6:00 am
But Gerold, representing NASAA, asked FINRA to further restrict the rule’s application to better avoid conflicts of interest and elder abuse. [read post]
29 Jan 2020, 4:55 am
The firm provides a full suite of legal services to the investment management community, including hedge fund, private equity fund, venture capital fund, mutual fund formation, adviser registration, counterparty documentation, SEC, CFTC, NFA and FINRA matters, seed deals, hedge fund due diligence, employment and compensation matters, and routine business matters. [read post]
28 Jan 2020, 3:02 pm
In November 2019 FINRA filed a regulatory action against McKinney alleging that he was named a respondent in a FINRA complaint alleging that he failed to comply with FINRA requests for information, documents and on-the-record testimony in connection with an investigation of him for possible violations of FINRA rules. [read post]
28 Jan 2020, 3:02 pm
In October 2019 FINRA initiated an investigation concerning Agnihotri conduct related to FINRA’s preliminary determination to recommend that disciplinary action be brought against Agnihotri for potential violations including conversion of investor funds, engaging in an outside business activity without providing prior written notice to his FINRA member employer firms. [read post]
28 Jan 2020, 10:07 am
We represent investors in FINRA arbitration claims in all 50 states, including Texas. [read post]
28 Jan 2020, 7:21 am
We have pursued FINRA arbitration claims and federal court claims for cases involving elder abuse. [read post]
28 Jan 2020, 7:00 am
We represent investors in FINRA arbitration claims in all 50 states, including California. [read post]
27 Jan 2020, 3:45 pm
New or emerging areas on which FINRA intends to focus include: Reg. [read post]
27 Jan 2020, 1:59 pm
Churning is a violation of securities laws and FINRA rules. [read post]
27 Jan 2020, 1:42 pm
Securities laws and the Financial Industry Regulatory Authority (FINRA) have established standards of care that brokers and brokerage firms are subject to. [read post]
27 Jan 2020, 12:37 pm
In a recent award, a Financial Industry Regulatory Authority (FINRA) arbitration panel has decided that Merrill Lynch must pay a former professional baseball player and his wife $1.7 million in compensatory damages, plus $88,758 in costs, for losses they sustained from investing in Puerto Rico bonds and closed-end bond funds. [read post]
27 Jan 2020, 4:46 am
Continue reading The post Reading and Understanding Your Margin Agreement – South and Central Florida FINRA Arbitration Attorney appeared first on South Florida Arbitration & Litigation Lawyer Blog. [read post]
26 Jan 2020, 12:42 pm
Continue reading The post FAQ Relating to Margin – South and Central Florida FINRA Arbitration Attorney appeared first on South Florida Arbitration & Litigation Lawyer Blog. [read post]
24 Jan 2020, 9:46 am
We represent investors in FINRA arbitration claims in all 50 states, including Florida. [read post]
24 Jan 2020, 6:56 am
Investors in Hospitality Investors Trust (“HIT”), also known as American Realty Capital Hospitality Trust or ARC Hospitality, may have FINRA arbitration claims, 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]
24 Jan 2020, 4:10 am
Spiegel, Respondent FINRA AWC)... [read post]
