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26 Apr 2019, 8:35 am
The two brokers, Glenn King and Ron Ison, were reportedly barred by FINRA. [read post]
6 Feb 2014, 10:10 am
FINRA found that by misappropriating approximately $1.5 million, Winterrowd violated NASD Rule 2330(a) and FINRA Rules 2150(a) and 2010. [read post]
17 Feb 2017, 9:32 am
For FINRA’s full findings see FINRA Case #2016051009001. [read post]
25 Oct 2011, 6:35 pm
UBS has, however, agreed to an entry of FINRA’s findings. [read post]
21 Sep 2019, 1:31 pm
Claims may be brought in securities arbitration before FINRA. [read post]
29 Jul 2014, 5:57 pm
FINRA alleged that on multiple occasions between 2009 and 2011, Bracey renegotiated the interest payments on the customer’s loan. [read post]
29 Oct 2009, 3:22 pm
It's time for FINRA to do that. [read post]
30 Nov 2009, 2:39 pm
The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in November 2009: Lisa Ann Tomiko Nouchi of Fairfield, California, was suspended from association with any FINRA member in any capacity for 90 days and fined $10,000 for allegedly entering inaccurate and false customer information while she was employed at UBS Financial Services. [read post]
6 Dec 2013, 6:43 am
According to FINRA, from at least October 11, 2006, and December 17, 2012, the named brokers violated the federal securities laws and FINRA rules in connection with selling Blue Ridge and Argyle offerings. [read post]
15 Nov 2011, 6:07 pm
FINRA encourages customers to consult with a securities lawyer to discuss their rights. [read post]
14 Feb 2013, 7:30 am
FINRA IRAte About Cut And Pasted Customer Signatures... [read post]
5 Jun 2012, 6:39 am
FINRA?) [read post]
17 Feb 2013, 4:49 am
FINRA IRAte About Cut And Pasted Customer Signatures... [read post]
22 Sep 2021, 11:50 am
We represent investors in FINRA arbitration claims in all 50 states including California. [read post]
11 Mar 2021, 8:30 am
” For FINRA’s full findings, see FINRA case number NO. 2020065664201. [read post]
11 Mar 2021, 8:30 am
” For FINRA’s full findings, see FINRA case number NO. 2020065664201. [read post]
13 Jul 2023, 12:22 pm
As a result of this conduct, Kim violated FINRA Rule 2010. [read post]
7 Jan 2010, 11:46 am
In an encouraging sign to those who despair about investors receiving full justice in a compulsory arbitration process financed by the brokerage industry, a California FINRA panel last month (December 2009) awarded compensatory damages of $319,798 to a 96-year old investor as well as treble damages of $959,394 under the California Elder Abuse Act. [read post]
7 Feb 2017, 7:38 am
For FINRA’s full findings see FINRA Case #2015045718701. [read post]
8 Dec 2017, 6:51 am
Subsequently, Jones was barred from the industry by FINRA after FINRA requested documents and information and he failed to provide the FINRA requested documents and information. [read post]
