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11 Jul 2019, 3:06 am
FINRA has spent years and millions of dollars compiling an expansive database of information about brokers. [read post]
10 Jul 2019, 2:21 pm
The aforementioned Dispute was filed on May 7, 2019, FINRA states, and a damage amount of $100,000 has been requested, FINRA reports. [read post]
10 Jul 2019, 12:43 pm
Attorney’s Office for the Southern District of New York, the Federal Bureau of Investigation, and the Financial Industry Regulatory Authority.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
10 Jul 2019, 12:00 pm
It’s possible to recover your losses by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
10 Jul 2019, 11:30 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. [read post]
10 Jul 2019, 10:41 am
According to his FINRA BrokerCheck Report, Gonzalez-Seijo also sold life insurance and annuities through PGS Insurance, Inc. [read post]
10 Jul 2019, 4:52 am
The Financial Industry Regulatory Authority (FINRA) barred Former LPL broker Jason Nelson following allegations that he made misrepresentations about customer information related to the sale of annuities. [read post]
10 Jul 2019, 4:17 am
Overview of the Regulation A+ Offering Circular for Crypto Tokens By Bart Mallon Co-Managing Partner, Cole-Frieman & Mallon LLP It is generally accepted that the initial coin offering (ICO) from mid-2017 is dead and that firms raising money for their blockchain or token projects will need to do so in a way that is compliant with SEC laws and regulations. [read post]
9 Jul 2019, 2:10 pm
JOINT RELEASECommodity Futures Trading CommissionSecurities and Exchange CommissionSEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
9 Jul 2019, 1:19 pm
In doing so, the Staffs of the SEC’s Division of Trading and Markets and of FINRA’s Office of General Counsel made clear that the SEC and FINRA will continue to apply the existing regulatory framework to the rapidly evolving world of digital assets. [read post]
9 Jul 2019, 1:19 pm
In doing so, the Staffs of the SEC’s Division of Trading and Markets and of FINRA’s Office of General Counsel made clear that the SEC and FINRA will continue to apply the existing regulatory framework to the rapidly evolving world of digital assets. [read post]
9 Jul 2019, 12:57 pm
*** JOINT RELEASEBoard of Governors of the Federal Reserve SystemCommodity Futures Trading CommissionFederal Deposit Insurance CorporationOffice of the Comptroller of the CurrencySecurities and Exchange CommissionMedia Contacts: Federal Reserve BoardCFTCFDICOCCSECDarren GershErica RichardsonJulianne BreitbeilStephanie CollinsRyan White (202) 452-2955(202) 418-5080(202) 898-6895 (202) 649-6870(202) 551-4120SEC Press Release--- Looking for a securities lawyer for litigation,… [read post]
9 Jul 2019, 12:21 pm
The Joint Statement points out that under FINRA rules, a registered broker-dealer is prohibited from materially changing its business operations (e.g., engaging in material digital asset securities activities for the first time) without FINRA’s prior approval of a Continuing Membership Application. [read post]
9 Jul 2019, 10:06 am
The forum is open to the public and webcast live, and participants may register online.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
9 Jul 2019, 9:48 am
FINRA slapped a three-month suspension on him after he departed Legend Securities in 2016. [read post]
9 Jul 2019, 8:50 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
9 Jul 2019, 8:06 am
A member of the Colorado bar, she holds a bachelor’s degree in Business from the University of Colorado and a J.D. from the University of Denver College of Law, where she was salutatorian, a Chancellor’s Scholar, and served on the Law Review.Commissioner Lee fills a term that expires on June 5, 2022.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
9 Jul 2019, 7:16 am
According to a Letter of Acceptance, Waiver & Consent posted on FINRA’s website this week, the regulator has reportedly barred Brenda Ann Smith from associating with any FINRA member at any time. [read post]
8 Jul 2019, 1:42 pm
Although Hopkins is no longer associated with a FINRA member firm, FINRA retains jurisdiction over him pursuant to FINRA’s By-laws. [read post]
8 Jul 2019, 10:48 am
We represent investors in FINRA arbitration claims in all 50 states, including Illinois. [read post]
