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26 Aug 2019, 6:42 am
For FINRA’s full findings, see FINRA Case #2014038990602. [read post]
23 Aug 2019, 1:32 pm
Background The securities… Read the Full Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
23 Aug 2019, 1:29 pm
That paper said an arbitration panel agreed to remove the complaints, but FINRA itself balked. [read post]
23 Aug 2019, 12:50 pm
According to the FINRA award, the investors alleged that UBS had violated Puerto Rico’s securities laws and FINRA rules. [read post]
23 Aug 2019, 12:22 pm
We represent investors in FINRA arbitration claims in all 50 states, including New York. [read post]
23 Aug 2019, 2:07 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4772/securities-industry-commentator/SEC Charges Dallas Company and its Founders With Defrauding Investors in Unregistered Offering and Operating Unregistered Digital Asset Exchange (SEC Release)SEC Charges Adviser Firm and Its Principals With Defrauding Retired NFL Players (SEC Release)FINRA Arbitrators Order Stockbroker to Disgorge Future… [read post]
23 Aug 2019, 2:07 am
A recent FINRA regulatory settlement comes up short on a number of those aspects.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and without an adjudication of any issue, Jedediah Elvin Dahl, submitted a Letter of Acceptance, Waiver and Consent ("AWC"), whic... [read post]
23 Aug 2019, 2:07 am
Rocky Enters Texas Ring Over Fee-For-Advice Dispute (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4785/finra-arbitration-rocky/In Rocky XXIV, we come across a fighter who transitioned his fee-for-advice business to a new FINRA member firm after obtaining assurances that the firm would expeditiously arrange to handle his model. [read post]
23 Aug 2019, 2:07 am
FINRA Bars NYLIFE Rep Over Debit Card Expenses (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4787/finra-awc-nylife/Temptation is always there. [read post]
23 Aug 2019, 2:07 am
In Rocky XXIV, we come across a fighter who transitioned his fee-for-advice business to a new FINRA member firm after obtaining assurances that the firm would expeditiously arrange to handle his model. [read post]
23 Aug 2019, 2:07 am
FINRA Arbitrators Order Stockbroker to Disgorge Future Bonuses to Ameriprise (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4777/finra-ameriprise-bonus/There is a mystique surrounding those litigants who enter the ring without a lawyer. [read post]
23 Aug 2019, 2:07 am
http://www.brokeandbroker.com/3620/saad-sec-finra/ This is a saga that starts in 2006 with alleged business expense misconduct; and then, from 2007 through 2019 moves -- or should we say slogs -- through an investigation, Complaint, hearings, appeals, remands, and appeals. [read post]
23 Aug 2019, 2:07 am
Morgan Stanley Marks Up Stockbroker's Record Over Annuity Complaint by Customer's Nephew (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4776/finra expungement nephew/A Morgan Stanley customer surrendered her annuity. [read post]
23 Aug 2019, 2:07 am
FINRA EVP of Office of Fraud Detection and Market Intelligence Cameron Funkhouser Announces Retirement (FINRA Release)http://www.finra.org/newsroom/2019/finra-evp-office-fraud-detection-and-market-intelligence-cameron-funkhouser-announcesAfter some 35 years of service to NASD and then FINRA, Executive Vice President Cameron Funkhouser has announced his retirement. [read post]
23 Aug 2019, 2:07 am
Korth & Company For Review of Disciplinary Action Taken by FINRA ... [read post]
23 Aug 2019, 2:07 am
The sole FINRA Arbitrator recommended expungement after making a FINR... [read post]
22 Aug 2019, 12:41 pm
FINRA Investigation: Erik P. [read post]
22 Aug 2019, 12:07 pm
The complaint alleged that Dotson violated Financial Industry Regulatory Authority (FINRA) Rules 8210 and 2010 when he refused to appear for on-the-record testimony in a FINRA investigation and consequently was barred from associating with any FINRA member at any time. [read post]
21 Aug 2019, 12:50 pm
The Securities and Exchange Commission yesterday charged New York-based broker-dealer AOC Securities LLC, and its former chief executive officer, Ronaldo Gonzalez, with failing to supervise an AOC broker who provided inflated price quotes for certain…SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
21 Aug 2019, 12:23 pm
For FINRA’s full findings, see FINRA Case #2016050947701. [read post]
