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18 Jun 2019, 4:36 am
FINRA Broker Disciplinary Action Report: June 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
17 Jun 2019, 12:23 pm
He received his undergraduate degree with highest honors from the University of Maryland Baltimore County.The SEC's Division of Investment Management protects investors and promotes capital formation through oversight and regulation of the nation’s multi-trillion dollar investment management industry.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
17 Jun 2019, 7:51 am
It has also acknowledged that its conduct violated a PCAOB rule requiring the firm to maintain integrity in the performance of a professional service and provides a basis for the SEC to impose remedies against the firm pursuant to Sections 4C(a)(2) and (a)(3) of the Exchange Act and Rules 102(e)(1)(ii) and (iii) of the Commission’s Rules of Practice.The SEC’s investigation, which is continuing, has been conducted by Ian Rupell and Paul Gunson and supervised… [read post]
17 Jun 2019, 7:05 am
Claims may be brought in securities arbitration before FINRA. [read post]
17 Jun 2019, 7:04 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
16 Jun 2019, 1:01 pm
The Dispute was settled back on August 13, 2007, FINRA notes. [read post]
16 Jun 2019, 10:20 am
Claims may be brought in securities arbitration before FINRA. [read post]
15 Jun 2019, 12:55 pm
The aforementioned Dispute was filed on April 9, 2019, FINRA states, and damage amounts of $$421,868.58 have been requested. [read post]
14 Jun 2019, 3:07 pm
John’s School of Law and the Financial Industry Regulatory Authority (FINRA) invite you to participate in the eleventh annual Securities Dispute Resolution Triathlon, a competition of competence in the dispute resolution field. [read post]
14 Jun 2019, 2:11 pm
The aforementioned dispute was filed on April 10, 2019, FINRA states, and damage amounts of $404,120.00 have been requested. [read post]
14 Jun 2019, 12:08 pm
In 2015, he settled a civil case brought by the Financial Industry Regulatory Authority (FINRA) accusing him of exercising discretion in a customer’s accounts even though he did not have their permission to make such trades. [read post]
14 Jun 2019, 11:45 am
Tips and Referrals For an SEC investigation to begin, the agency usually relies on tips and referrals from various sources, such as: Continue reading › The post What To Know About SEC Investigations appeared first on FINRA Lawyer Blog. [read post]
14 Jun 2019, 11:17 am
If your financial advisor has over-concentrated your assets in any sector or investment, and you suffered substantial losses, you may have a claim to recover your losses through FINRA arbitration. [read post]
14 Jun 2019, 11:16 am
Prior to making recommendations to an individual investor, brokerage firms are required by the Financial Industry Regulatory Authority (FINRA) to disclose all the risks of an investment. [read post]
14 Jun 2019, 9:16 am
SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
14 Jun 2019, 6:19 am
Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4653/FINRA-My-Way/As kids, we spent countless hours arguing over very, very profound things like what would happen if an unstoppable force hit an immovable object; or could God create something too heavy for him to lift; or, could Superman get gas and, if so, would he fart, and, if so, could his gaseous explosion kill a bystander. [read post]
14 Jun 2019, 6:19 am
And then tell me how Dan Dxrams becomes Dan Kusi.Two New Jersey Men Found Guilty in Phony Debt Elimination Scheme (DOJ Release)Pro Se Public Customer and Pro Se Stockbroker Did It Their Way In FINRA Arbitration (BrokeAndBroker.com Blog)Walmart Inc. and Brazil-Based Subsidiary Agree to Pay $137 Million to Resolve Foreign Corrupt Practices Act Case (DOJ Release)Walmart Charged With FCPA Violations (SEC Release)SEC Freezes Assets in International Man... [read post]
14 Jun 2019, 6:19 am
2019 FINRA Board of Governors Election (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4649/finra-board-election/The 2019 FINRA Board of Governors election is upon us. [read post]
14 Jun 2019, 6:19 am
A personal note from Bill Singer, BrokeAndBroker.com Blog: The 2019 FINRA Board of Governors election is upon us. [read post]
14 Jun 2019, 6:19 am
Just going by the FINRA Arbitration Decision, you're not all that worked up about the she-says-they-say aspect of the dispute, and, hey, who the hell really knows, right? [read post]
