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25 Oct 2019, 7:29 am
FINRA Department of Enforcement, Complainant, vs Kim K. [read post]
Claimant's Attorney In ER, Claimant's Wife Gives Birth, but FINRA Arbitrators Won't Postpone Hearing
25 Oct 2019, 7:29 am
Unfortunately, it ended in what seems a 2017 fizzle of a FINRA Arbitration Decision in favor of JP Morgan. [read post]
25 Oct 2019, 6:56 am
We represent investors in FINRA arbitration claims in all 50 states. [read post]
24 Oct 2019, 12:14 pm
For more information on the firm and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
24 Oct 2019, 8:19 am
Michael Bayliss Investigation In August, 2019, a FINRA arbitrator panel sitting in Reno, Nevada made an award in excess of $700,000 in favor of an investor in the Michael Bayliss Wealth Strategies Fund. [read post]
23 Oct 2019, 1:27 pm
Recovery of Investment Losses The White Law Group continues its investigation into the liability that FINRA-registered broker-dealers may have for recommending GPB Capital offerings to investors. [read post]
22 Oct 2019, 12:22 pm
The post FINRA Disciplinary Actions For August 2019 Name Registered Individuals Suspended For Violations Of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Oct 2019, 11:44 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]
22 Oct 2019, 10:26 am
The post FINRA Disciplinary Actions For August 2019 Name Registered Individuals Barred For Failing To Provide FINRA Information appeared first on Securities Arbitration Lawyers Blog. [read post]
22 Oct 2019, 2:09 am
Lucia Securities investigation into variable annuity and non-traded REIT sales The securities attorneys at The Law Office of David Liebrader have opened an investigation into the sale of illiquid and high risk securities by a Henderson, NV based FINRA registered representative with Lucia Securities (aka Lucia Capital Croup). [read post]
21 Oct 2019, 10:52 am
We represent investors in FINRA arbitration claims in all 50 states, including California. [read post]
21 Oct 2019, 8:41 am
GPB Capital Holdings the subject of regulator complaints FINRA, the securities industry regulator has opened an investigation into GPB Capital Holdings, a New York based investment firm that has raised nearly $2 billion from investors nationwide through a series of private placements. [read post]
21 Oct 2019, 8:13 am
At a recent industry conference, senior FINRA officials indicated that FINRA will begin asking member firms about their Reg BI preparation efforts as part of its examination program as soon as early next year. [read post]
21 Oct 2019, 8:13 am
At a recent industry conference, senior FINRA officials indicated that FINRA will begin asking member firms about their Reg BI preparation efforts as part of its examination program as soon as early next year. [read post]
21 Oct 2019, 7:09 am
However, does the jurisdiction of FINRA arbitrator extend to companies or persons that are not FINRA members or employees of FINRA members? [read post]
21 Oct 2019, 7:00 am
Vest Investment Services and Prospera Financial Services, was suspended from FINRA membership as a result of an investigation into securities related activity conducted by regulator FINRA. [read post]
21 Oct 2019, 5:58 am
After receiving notice from FINRA of the investigation Jessee, though her counsel, notified FINRA that she would not appear for an interview conducted by FINRA as part of their investigation. [read post]
21 Oct 2019, 5:47 am
In FINRA expungement cases, brokerage firms like H. [read post]
21 Oct 2019, 5:18 am
Gurpreet Chandhoke and Stephen Shea Sued by FINRA In a complaint filed by FINRA, and reported in October, 2019 Gurpreet Chandhoke and Stephen Shea, of Walnut Creek, California were named as Respondents alleging that they failed to disclose outside business activities and engaged in private securities transactions in violation of FINRA rules. [read post]
21 Oct 2019, 5:07 am
Not that detailed, though…Unfortunately for investors looking to background check their broker, financial advisors are appealing to FINRA for the purging of key information on these reports in record numbers. [read post]
