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24 Dec 2019, 10:54 am
Hendershott is the subject of a current customer dispute filed on 8/5/19 in which a client alleges that she violated FINRA Rule 2210, as well as engaged in unsuitable investments, overconcentration, negligence, and misrepresentations and omissions. [read post]
24 Dec 2019, 10:49 am
FINRA sent Ricker a request for information and he failed to respond. [read post]
24 Dec 2019, 9:21 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Katherine Nishnic (Nishnic), currently associated with Centaurus Financial, Inc. [read post]
24 Dec 2019, 9:20 am
Claims may be brought in securities arbitration before FINRA. [read post]
24 Dec 2019, 9:12 am
Two disputes filed in 2002 went through FINRA arbitration and both included financial judgments for the clients. [read post]
24 Dec 2019, 8:27 am
A customer filed a dispute on 12/27/2016, alleging that between 2013 and 2015, Souma’s negligence included, “exercise of discretion, excessive and unsuitable trading, falsified performance reports, failure to extend a promised credit line, breach of fiduciary duty, misrepresentation and omission of material facts, breach of contract, constructive fraud, failure to supervise, violation of state and federal securities laws and FINRA rules, and promissory estoppel. [read post]
24 Dec 2019, 8:12 am
In it, the client alleged “breach of regulatory requirement section 2090 of FINRA’s conduct rules, breach of fiduciary duty, unsuitable investments, misrepresentations and omissions, over-concentration, breach of contract, negligence and gross negligence, and churning. [read post]
24 Dec 2019, 7:38 am
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
24 Dec 2019, 7:19 am
The post FINRA Disciplinary Actions For December 2019 Name Registered Individuals Barred For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
24 Dec 2019, 5:13 am
Continue Reading › The post Lek Securities Ex-CEO Samuel Lek Barred by FINRA and Major Exchanges appeared first on Investor Lawyers Blog. [read post]
23 Dec 2019, 1:40 pm
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules NAME FORMER EMPLOYERS DiLiberto, Jesse Fidelity Brokerage Services LLC Wilmington Capital Securities, LLC Fry, Stephen … [read post]
23 Dec 2019, 7:45 am
(“CVMC REIT II”) 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]
22 Dec 2019, 9:17 am
Claims may be brought in securities arbitration before FINRA. [read post]
22 Dec 2019, 9:17 am
Claims may be brought in securities arbitration before FINRA. [read post]
21 Dec 2019, 8:20 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
20 Dec 2019, 9:58 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
20 Dec 2019, 8:15 am
For FINRA’s full findings see FINRA Case #2017056224001. [read post]
19 Dec 2019, 2:51 pm
UBS financial advisor Jose Cornide (CRD# 2785918) of the Edinroc Financial Group in Coral Gables, Florida reportedly faces seven customer disputes, according to his publicly available FINRA BrokerCheck report, including some customer disputes regarding the UBS Yield Enhancement Strategy (YES). [read post]
19 Dec 2019, 1:49 pm
Claims may be brought in securities arbitration before FINRA. [read post]
19 Dec 2019, 10:13 am
FINRA Broker Disciplinary Action Report: December 2019Each 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]
