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7 Jan 2020, 8:48 am
Specifically, FINRA alleges that on several occasions while employed by J.P. [read post]
7 Jan 2020, 8:30 am
As recently as 2017, Dawson James was fined $75,000 by FINRA. [read post]
7 Jan 2020, 8:13 am
In recent years, the Securities and Exchange Commission (SEC) and FINRA have issued warnings and guidance on REITs, pointing to commissions and fees as high as 15%, lack of transparency, and lack of liquidity. [read post]
7 Jan 2020, 8:00 am
Approximately one year ago a customer lodged a dispute with the Financial Industry Regulatory Authority (FINRA) against broker Jeanpierre Ayala (a/k/a J.P. [read post]
7 Jan 2020, 6:59 am
” Carver’s Suspension In May 2019, Carver was fined and suspended by FINRA for “willfully failing to timely disclose three tax liens” for unpaid income taxes to the IRS for the years 2013 and 2015 on compliance forms he submitted to FINRA, in violation of FINRA Rules. [read post]
7 Jan 2020, 6:44 am
Gary Basralian, whom the Financial Industry Regulatory Authority (FINRA) barred in 2018, is currently in prison for fraud, including bilking older women who suffered from disabilities. [read post]
6 Jan 2020, 2:12 pm
FINRA stated that this constituted a violation of FINRA Rules 3240 and 2010. [read post]
6 Jan 2020, 1:32 pm
Silver Law Group has significant experience pursuing claims against broker-dealers through FINRA or securities arbitration as well as class action lawsuits against issuers and other potential third parties. [read post]
6 Jan 2020, 1:03 pm
Continue reading › The post FINRA Attacks Suitability By Challenging FAs Product Knowledge appeared first on FINRA Lawyer Blog. [read post]
6 Jan 2020, 10:50 am
We represent investors in FINRA arbitration claims in all 50 states, including New Jersey. [read post]
6 Jan 2020, 10:32 am
We represent investors in FINRA arbitration claims in all 50 states, including Maryland. [read post]
6 Jan 2020, 10:05 am
A FINRA arbitration claim has also been brought against Milon. [read post]
Broker Ken Kavanagh Of Morgan Stanley Suspended, Fined For Not Disclosing Business Managing Athletes
6 Jan 2020, 8:30 am
If they fail to oversee their registered representatives, they could face FINRA sanctions or client settlements pursuant to the “failure to supervise” rule. [read post]
6 Jan 2020, 7:15 am
Glen prepares a monthly update of FINRA and SEC regulatory matters of interest to broker-dealers. [read post]
6 Jan 2020, 6:22 am
Claims may be brought in securities arbitration before FINRA. [read post]
6 Jan 2020, 6:02 am
Claims may be brought in securities arbitration before FINRA. [read post]
3 Jan 2020, 2:15 pm
It is uncommon that the broker is deceased, but the brokerage firms he was registered with when alleged misconduct occurred are still responsible for his actions, and can be pursued through FINRA arbitration in an attempt to recover investment losses. [read post]
3 Jan 2020, 1:54 pm
Variable annuity sales are regulated by FINRA and the SEC. [read post]
3 Jan 2020, 1:46 pm
(FINRA) against Batstone. [read post]
3 Jan 2020, 1:37 pm
Nicolas Barrios Indefinitely Barred By FINRA In June, 2019, Nicolas Barrios was indefinitely barred in all capacities from associating with a FINRA member firm for failing to provide documents and information as requested by FINRA in connection to their “investigation into allegations that Barrios mismanaged and committed fraud with respect to a customer’s account. [read post]
