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8 Jul 2019, 10:25 am
On December 30, 2017, Lax & Neville LLP commenced a Financial Industry Regulatory Authority (“FINRA”) arbitration claim on the Receiver’s behalf against Interactive Brokers and Kevin Michael Fischer, who is the head of Interactive Brokers LLC’s block trading desk. [read post]
8 Jul 2019, 8:12 am
Claims may be brought in securities arbitration before FINRA. [read post]
8 Jul 2019, 7:59 am
We represent investors in FINRA arbitration claims in all 50 states. [read post]
5 Jul 2019, 7:36 am
., which was expelled by the Financial Industry Regulatory Authority (FINRA) in 2011, Bear Stearns & Co., Prudential-Bach Securities, Rinfret Securities, Baird, Patrick, & Co,., and several others. [read post]
5 Jul 2019, 5:03 am
While we have been fortunate to recover all or most of the awards we have won through FINRA arbitration, we are well aware that this is not always the case. [read post]
4 Jul 2019, 1:34 pm
Although Schwartz is no longer registered or associated with a FINRA member firm, he remains subject to FINRA’s jurisdiction for purposes of this proceeding, pursuant to FINRA’s By-Laws, the Complaint notes. [read post]
3 Jul 2019, 3:05 pm
The public comment period will remain open for 30 days following publication in the Federal Register.[1]Commodity Futures Trading Commission, CFTC to Hold an Open Commission Meeting on July 11 (July 2, 2019), available at: https://ift.tt/2RPD2fs.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
3 Jul 2019, 2:23 pm
” According to their FINRA BrokerCheck reports and the OPAC website, OPAC securities are offered through Uhlmann Price and OPAC advisors are compensated by Uhlmann Price. [read post]
3 Jul 2019, 1:29 pm
The aforementioned Dispute was filed on April 30, 2019, FINRA states, and a damage amount of $$999,999.00 has been requested, FINRA reports. [read post]
3 Jul 2019, 1:10 pm
FINRA also ordered him to disgorge nearly $9.7M plus interest. [read post]
3 Jul 2019, 9:04 am
He earned his law degree and MBA from the University of Virginia, and his bachelor’s degree in engineering and economics from Duke University.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
3 Jul 2019, 8:05 am
The office works to enhance the transparency and relevancy of financial reporting and ensure that financial statements are presented fairly and have credibility for the benefit of all investors.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
3 Jul 2019, 7:37 am
FINRA Issues An Extraordinary and Cynical Release (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4689/finra-extraordinary-cooperation/The way I understand it, Moses went up a mountain and God gave him two stone tablets consisting of Ten Commandments. [read post]
3 Jul 2019, 7:37 am
What ensues is a tribute to both the FINRA Arbitrator deciding the case and... [read post]
3 Jul 2019, 7:37 am
What ensues is a tribute to both the FINRA Arbitrator deciding the case and the stockbroker's lawyer.Case in PointIn a FINRA Arbitration Statement of Claim filed in December 2018, associated person Claimant Walker sou... [read post]
3 Jul 2019, 7:37 am
It's another one of those woulda, coulda, shoulda matters in which FINRA has the firm dead to rights. [read post]
3 Jul 2019, 7:37 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4683/securities-industry-commentator/Former Hollywood Digital Marketing Executive and Professional Poker Player Charged with Embezzling $22 Million from His Employer (DOJ Release)FINRA Issues An Extraordinary and Cynical Release (BrokeAndBroker.com Blog)Hedge Fund Founder, CEO, And CIO Anilesh Ahuja And Former Trader Jeremy Shor Convicted Of… [read post]
3 Jul 2019, 7:37 am
In the Matter of Scott Mason, Respondent (FINRA AWC 2017056094901, July 3, 2019) http://www.finra.org/sites/default/files/fda_documents/2017056094901%20... [read post]
3 Jul 2019, 7:11 am
If so, the securities attorneys at The White Law Group may be able to help you through FINRA Arbitration. [read post]
3 Jul 2019, 7:00 am
Claims may be brought in securities arbitration before FINRA. [read post]
