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6 Jan 2016, 12:59 pm
” Furthermore, FINRA says the firm failed to report more than 35 customer complaints. [read post]
2 Aug 2016, 11:30 am
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
18 Nov 2016, 9:12 am
FINRA sanctioned Oppenheimer & Co., Inc. [read post]
8 Feb 2024, 1:02 pm
The Order bars Kennedy from associating with a FINRA firm. [read post]
16 Dec 2014, 1:24 pm
FINRA found that “Merrill Lynch purchased MLC Notes at prices that were not fair to its retail customers. [read post]
11 Sep 2019, 9:54 am
We represent investors in FINRA arbitration claims in all 50 states, including Virginia. [read post]
31 Jan 2014, 10:37 am
Specifically, FINRA arbitration claims against the brokerage firm that employed Mr. [read post]
9 Nov 2015, 3:19 pm
The Financial Industry Regulatory Authority (FINRA) is investigating MetLife for potential violations involving variable annuities. [read post]
9 Jan 2014, 11:58 am
According to FINRA’s online arbitration awards database, a number of investors have been successful in recovering some of their losses in FINRA dispute resolution claims involving Medical Provider Financial Corporation (also called “Med Cap”). [read post]
24 Aug 2020, 12:52 pm
According to FINRA, Butschek also reported 3 judgments/liens between May 2015 and January 2017. [read post]
20 Mar 2020, 8:10 am
Daughtry, Kestra Investment Services, Dothan, AL FINRA Reportedly Bars Advisor James B. [read post]
27 Oct 2014, 4:18 am
One firm recently failed that test, resulting in a FINRA fine and censure. [read post]
2 Jan 2014, 7:33 am
According to his FINRA Broker Report, David C. [read post]
2 Sep 2014, 2:34 pm
FINRA has alleged that Diaz falsified the net worth of some clients in order for those clients to meet minimum net worth requirements of more sophisticated investment products. [read post]
4 Jan 2017, 10:03 am
If so, The White Law Group may be able to help you recovery your losses by filing a FINRA arbitration claim against the brokerage firm that sold you the investment. [read post]
11 Dec 2014, 1:54 pm
FINRA Dispute Resolution is an arbitration venue for investors with claims against their brokerage firm or financial professional. [read post]
27 Feb 2023, 6:01 am
” “Under the Finra proposal, which the SEC still has to bless, Finra would codify its existing practice of using both an algorithm and ‘conducting a manual review for conflicts of interest prior to sending an arbitrator list’ to disputing parties, it said in its filing. [read post]
18 Jul 2012, 6:30 am
According to an Investment News report, JHS Capital Advisors Inc. and a former broker were hit with a $1.9 million Finra arbitration award last week stemming from allegations that the broker traded in a client’s account excessively to generate commissions. [read post]
18 Jul 2012, 6:30 am
According to an Investment News report, JHS Capital Advisors Inc. and a former broker were hit with a $1.9 million Finra arbitration award last week stemming from allegations that the broker traded in a client’s account excessively to generate commissions. [read post]
18 Jul 2012, 6:30 am
According to an Investment News report, JHS Capital Advisors Inc. and a former broker were hit with a $1.9 million Finra arbitration award last week stemming from allegations that the broker traded in a client’s account excessively to generate commissions. [read post]
