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FINRA Suspends Registered Individuals For Violations Of FINRA Rules December 2023
5 Jan 2024, 10:01 am by Silver Law Group
Morgan Securities LLC   Wells Fargo Clearing Services, LLC   Brittny Stagnitto   Anthony Vadino   Equitable Advisors, LLC   LPL Financial LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information November 2023
27 Dec 2023, 11:21 am by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp   Merrill Richardson   Goldman Sachs & Co, LLC   William Blair & Company LLC   Michael Solomon   Maxim Group LLC   HFP Capital Markets LLC   Steven Thompson   Network 1 Financial Securities Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement Nov 2023
27 Dec 2023, 8:45 am by Silver Law Group
  Merrill Lynch, Pierce, Fenner & Smith Incorporated   Louis Pellegriti   Spartan Capital Securities, LLC   Worden Capital Management LLC   Jorge Sarria   Morgan Stanley   Merrill Lynch, Pierce, Fenner & Smith Incorporated   Daniel Snodgrass   BCG Securities, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Sean Pong, U.S. Bancorp, Barred by FINRA  
5 Dec 2023, 10:38 am by The White Law Group
MORGAN SECURITIES LLC (CRD#:79), HAWTHORNE, CA B, 05/02/2009 – 10/01/2012, CHASE INVESTMENT SERVICES CORP. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Broker Robert Silvestri Barred by FINRA 
29 Nov 2023, 7:29 am by The White Law Group
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Fernando Silva Terminated From Morgan Stanley Over Misappropriation Allegation
10 Nov 2023, 8:25 am by Silver Law Group
His prior employer was Wells Fargo Clearing Services, LLC (CRD#:19616), also of Tucson. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Weekly Roundup: November 3-9, 2023
10 Nov 2023, 6:30 am
Securities and Exchange Commission, on Wednesday, November 8, 2023 Tags: Clawbacks, Proxy season, SEC, SPACs Top 5 SEC Developments Posted by Haimavathi V. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Weekly Roundup: November 3-9, 2023
10 Nov 2023, 6:30 am
Securities and Exchange Commission, on Wednesday, November 8, 2023 Tags: Clawbacks, Proxy season, SEC, SPACs Top 5 SEC Developments Posted by Haimavathi V. [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Brian Wurdemann Barred By FINRA Following Two Arbitration Actions
9 Nov 2023, 6:29 am by Silver Law Group
(CRD# 8174) of Paramus, NJ, Morgan Stanley Smith Barney (CRD# 149777) and Citigroup Global Markets Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Risks of Investing in Leveraged and Inverse Exchange-traded Funds (ETFs)
8 Nov 2023, 10:14 pm by D. Daxton White
The regulator sanctioned Citigroup Global Markets, Inc; Morgan Stanley & Co., LLC; UBS Financial Services; and Wells Fargo Advisors, LLC a total of more than $9.1 million for selling leveraged and inverse exchange-traded funds (ETFs) without reasonable supervision and for not having a reasonable basis for recommending the securities. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
FINRA Bars Broker Ron Filoramo After Fraudulent Induction Allegation
2 Nov 2023, 6:55 am by Silver Law Group
His previous employers include Wells Fargo Advisors, LLC (CRD# 19616) of Hallandale, FL, UBS Financial Services Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Broker William Conn Subject Of Seven Disclosures
2 Nov 2023, 6:36 am by Silver Law Group
Morgan Securities LLC (CRD#:79), and Deutsche Bank Securities Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Payments News Update – October 27, 2023
27 Oct 2023, 6:00 am by Michelle
Industry Developments SPOTLIGHT: Paze’s Digital Wallet Uses a Bank-Centered Fintech Approach to E-Commerce CheckoutDigital Transactions News – October 24, 2023 Though the official launch of the Paze online wallet from Early Warning Services LLC isn’t slated until 2024, Paze executives are already demonstrating the product. [read post]
C|C Payments Blog - https://constantinecannon.com/practice/antitrust-litigation-counseling/cc-payments-blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement October 2023
26 Oct 2023, 8:53 am by Silver Law Group
Morgan Securities LLC   Albert Foronda   Spartan Capital Securities, LLC   Worden Capital Management LLC   Jorge Baquero   Spartan Capital Securities, LLC   Eduardo Martinez   National Securities Corporation   PHX Financial, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules October 2023
26 Oct 2023, 8:35 am by Silver Law Group
  Pruco Securities LLC   Madison Avenue Securities, LLC   Jack McBride   Newbridge Securities Corporation   B. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information October 2023
26 Oct 2023, 7:49 am by Silver Law Group
  Morgan Stanley   Timothy Claypool   Northwestern Mutual Investment Services, LLC   Farmers Financial Solutions, LLC   Ebony Parks   LPL Financial LLC   Wells Fargo Clearing Services, LLC   Rashawn Russell   Deutsche Bank Securities Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement September 2023
25 Oct 2023, 12:49 pm by Silver Law Group
  Morgan Stanley   Michael Schunk   NYPPEX, LLC   Commerce One Financial Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Registered Individuals For Violations Of FINRA Rules September 2023
25 Oct 2023, 12:36 pm by Silver Law Group
Morgan Securities LLC   Chase Investment Services Corp. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information September 2023
25 Oct 2023, 12:29 pm by Silver Law Group
  SW Financial   Jin Zhu   Morgan Stanley   Key Investment Services LLC FINRA makes this information available, in part, to inform investors about potential red flags or problems with certain stockbrokers. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2023
25 Oct 2023, 8:30 am by Silver Law Group
Morgan Securities LLC   Gail Milon   ELE Wealth Advisors, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/