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3 Jul 2019, 5:08 am
” Legitimate financial professionals must register with FINRA, the SEC, or a state securities regulator. [read post]
2 Jul 2019, 1:09 pm
For example, last month, the Financial Industry Regulatory Authority (FINRA) barred Philip John Nalesnik, a former LPL broker based in Pennsylvania. [read post]
2 Jul 2019, 12:51 pm
FINRA arbitration, FINRA lawyer, Summit Brokerage services sanctioned, Summit Supervisory failures, The post FINRA Fines Summit Brokerage Services Inc. $550,000 appeared first on The White Law Group. [read post]
2 Jul 2019, 8:21 am
We represent investors in FINRA arbitration claims in all 50 states, including Connecticut. [read post]
2 Jul 2019, 8:04 am
Broker dealers that fail to adequately disclose risks or make unsuitable investment recommendations can be held liable for investment losses through FINRA Arbitration. [read post]
2 Jul 2019, 7:42 am
Claims may be brought in securities arbitration before FINRA. [read post]
2 Jul 2019, 7:42 am
It is unclear if these OBAs were the subject of FINRA’s investigation. [read post]
2 Jul 2019, 5:10 am
The afternoon panel of the SEC-FINRA compliance program, held in Chicago, featured a robust discussion on the evolving cybersecurity threat matrix impacting broker-dealers and some of the best practices developed in response. [read post]
1 Jul 2019, 3:12 pm
According to Hoffman’s FINRA BrokerCheck Report, he is currently registered as a financial advisor for Union Capital Company in Chicago, Illinois. [read post]
1 Jul 2019, 1:03 pm
GPB Private Placement Fraud Claims In the last year alone, the US Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state securities regulators, and the FBI have opened investigations into GPB Capital and its private placements. [read post]
1 Jul 2019, 12:46 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Carolyn UBS Financial Services Inc. [read post]
1 Jul 2019, 12:43 pm
Our lawyers have extensive experience collecting FINRA arbitration awards, prevailing on Motions to Vacate FINRA arbitration awards and using various collection efforts to enforce FINRA awards after they are received. [read post]
1 Jul 2019, 12:40 pm
The post FINRA Names Individuals Barred in June 2019 for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
1 Jul 2019, 9:42 am
Audet, Michael Garrity, Michael McGrath, and Mayeti Gametchu of the SEC’s Boston Regional Office.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
1 Jul 2019, 9:30 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
1 Jul 2019, 7:03 am
Claims may be brought in securities arbitration before FINRA. [read post]
1 Jul 2019, 7:02 am
In May 2019 FINRA found that Bourgeois consented to sanctions and findings that he failed to produce documents and information requested by FINRA during the course of an investigation into allegations reported that he borrowed money from a customer, converted customer funds, and committed fraud. [read post]
30 Jun 2019, 1:18 pm
Shea has not been registered with a FINRA member firm since August of 2017, and is not currently registered as a broker, FINRA reports. [read post]
30 Jun 2019, 8:39 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Arbitration claim against the brokerage firm that sold you the investment. [read post]
30 Jun 2019, 4:17 am
However, federal securities laws and the FINRA rules require firms to monitor and supervise its employees in order to detect and prevent brokers from offering investments in this fashion. [read post]
