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25 Jul 2019, 5:09 am
"UPDATE: 2019 FINRA Contested Small Firm Election: Vote for Linde Murphy" (BrokeAndBroker.com Blog / July 26, 2019). [read post]
24 Jul 2019, 2:33 pm
Both the SEC and FINRA, the securities industry self-regulator, maintain extensive databases where you can view a broker’s background and qualifications. [read post]
24 Jul 2019, 12:01 pm
Heath Bowen, based on his alleged failure to comply with the FINRA Arbitration award, has been suspended indefinitely by FINRA until required payment is made or discharged, FINRA reports. [read post]
24 Jul 2019, 6:13 am
Davis and Erin Schneider of the San Francisco office.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
23 Jul 2019, 4:30 pm
John Reed Stark In the following guest post, John Reed Stark takes a closer look at President Donald Trump’s recent Twitter tirade against cryptocurrency and lays out a roadmap for the President to follow if his administration were to crack down on cryptocurrency. [read post]
23 Jul 2019, 1:56 pm
(FINRA) on November 29, 2017. [read post]
23 Jul 2019, 12:11 pm
(FINRA) on May 21, 2018, wherein FINRA made findings of rule violations and barred him from associating with any FINRA member in any capacity. [read post]
23 Jul 2019, 11:55 am
In sum, Beatriz Vida has 8 Pending Customer Disputes on her FINRA BrokerCheck Report, and has been registered with Morgan Stanley in Washington, D.C. since May 5, 2014, FINRA reports. [read post]
23 Jul 2019, 11:27 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
23 Jul 2019, 9:48 am
Whistleblower awards can range from 10 percent to 30 percent of the money collected when the monetary sanctions exceed $1 million.As set forth in the Dodd-Frank Act, the SEC protects the confidentiality of whistleblowers and does not disclose information that could reveal a whistleblower’s identity.For more information about the whistleblower program and how to report a tip, visit www.sec.gov/whistleblower.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration… [read post]
23 Jul 2019, 9:30 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Marcus Boggs from associating with any FINRA member after he reportedly failed to answer requests for information in FINRA’s investigation. [read post]
23 Jul 2019, 9:16 am
Continuing a cryptocurrency oversight program begun in 2018, on July 18, 2019, FINRA issued Regulatory Notice 19-24. [read post]
23 Jul 2019, 7:33 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim. [read post]
23 Jul 2019, 3:26 am
If you have suffered losses in CCPT IV, you may have recourse through FINRA Arbitration. [read post]
22 Jul 2019, 9:57 am
For more information on The White Law Group and its FINRA arbitration practice, please visit https://www.whitesecuritieslaw.com. [read post]
22 Jul 2019, 4:54 am
McCutchen and Berthel perfectly fit the description of the types of “rogue brokers” that FINRA is trying desperately to regulate more heavily. [read post]
21 Jul 2019, 1:49 pm
Cutshall, based on the aforementioned alleged behavior, has been barred by FINRA and was discharged by Lombard Securities Incorporated, FINRA states. [read post]
21 Jul 2019, 5:34 am
We represent investors in FINRA arbitration claims in all 50 states, including Indiana. [read post]
20 Jul 2019, 11:50 am
Forrest, based on the aforementioned behavior, violated FINRA Rules, and thus has been fined $5,000, and was suspended for ten months by FINRA, the AWC reports. [read post]
20 Jul 2019, 11:43 am
We represent investors in FINRA arbitration claims in all 50 states, includingMichigan. [read post]
