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4 Nov 2019, 8:50 am
Baez began working as a document reviewer and eventually obtained employment with FINRA, Within a year Ms. [read post]
4 Nov 2019, 7:33 am
Lax & Neville has extensive experience helping professionals in the financial services industry enforce their rights under the New York Labor Law in FINRA, state and federal court, and AAA and JAMS arbitrations. [read post]
2 Nov 2019, 1:33 pm
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
1 Nov 2019, 2:48 pm
According to FINRA, “Due to the complexity and confusion surrounding them, which can lead to questionable sales practices, variable annuities are a leading source of investor complaints to FINRA. [read post]
1 Nov 2019, 1:44 pm
James Flynn is now “barred from association with any FINRA member in all capacities. [read post]
1 Nov 2019, 1:19 pm
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]
1 Nov 2019, 11:27 am
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
1 Nov 2019, 7:30 am
FINRA-registered brokers and firms are subject to arbitration to resolve securities-related disputes. [read post]
1 Nov 2019, 7:30 am
The post FINRA Suspends & Fines Former JMP Securities Analyst appeared first on The White Law Group. [read post]
1 Nov 2019, 5:49 am
Cohen has 36 years in the securities industry, and the aforementioned dispute is the only case on his FINRA BrokerCheck Report, FINRA states. [read post]
1 Nov 2019, 5:49 am
Cohen has 36 years in the securities industry, and the aforementioned dispute is the only case on his FINRA BrokerCheck Report, FINRA states. [read post]
1 Nov 2019, 4:53 am
FINRA Department of Enforcement, Complainant, v. [read post]
1 Nov 2019, 4:53 am
., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Release)CFTC Charges Companies and Associates with Failing to Register with the CFTC (CFTC Release)Baton Rouge Man Pleads Guilty in Federal Court to Multi-Million Dollar B... [read post]
1 Nov 2019, 4:53 am
., Respondent (FINRA Arbitration Decision 18-03461)SEC Charges Issuer and CEO with Violating Whistleblower Protection Laws to Silence Investor Complaints (SEC Release)SEC Charges Two Men with Fraud and Unregistered Broker Activity (SEC Re... [read post]
1 Nov 2019, 4:53 am
featured in today's Securities Industry Commentator:SEC Division of Enforcement 2019 Annual Report (SEC Release)In]Securities Guest Blog: Wishin' I Was Stoned by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc., Raymond James & Associates, Inc., and Raymond James Financial Services, Inc. to Pay More Than $12 Million in Restitution to Customers for Supervisory Failures Involving 529 Plan Share Classes / Firms Failed… [read post]
31 Oct 2019, 11:44 am
Centaurus Financial investigation into Structured CDs The securities attorneys at The Law Office of David Liebrader have opened an investigation into the securities related conduct of Centaurus Financial a registered FINRA broker dealer based in Anaheim, California. [read post]
31 Oct 2019, 9:26 am
The Financial Industry Regulatory Authority (FINRA) recently barred Stuart Nichols, a former broker with the firm, after he failed to participate in the self-regulatory authority’s probe into churning allegations made against him. [read post]
31 Oct 2019, 8:06 am
Kelley said that FINRA’s staff, when going on broker-dealer firm examinations, have asked members about the types of cyberattacks they have been subjected to. [read post]
31 Oct 2019, 6:20 am
The post FINRA Panel Awards $3.2 million to Raymond James Customers appeared first on The White Law Group. [read post]
31 Oct 2019, 1:23 am
Recovery of Investment Losses The White Law Group continues its investigation into the liability that FINRA-registered broker-dealers may have for recommending GPB offerings to investors. [read post]
