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8 Jun 2019, 12:24 pm
Mcdonald Jr. has settled a Customer Dispute in 2014 which had alleged unsuitability, FINRA notes. [read post]
7 Jun 2019, 11:12 am
A FINRA Arbitration Panel of three public arbitrators dismissed the claims. [read post]
7 Jun 2019, 11:12 am
Morgan Keegan & Company, LLC, Respondent (FINRA Arbitration 18-03423 / June 7, 2019). http://www.finra.org/sites/default/files/aao_document... [read post]
7 Jun 2019, 11:12 am
UBS Stockbroker Seeks Expungement of ARS Claim That Firm Says Wasn't Made (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4641/finra-expungement-ubs/In a recent FINRA arbitration expungement case involving UBS, we come across an example of nonsensical regulation. [read post]
7 Jun 2019, 11:12 am
FINRA Department of Enforcement, Complainant, v. [read post]
7 Jun 2019, 6:36 am
Claims may be brought in securities arbitration before FINRA. [read post]
7 Jun 2019, 6:35 am
Claims may be brought in securities arbitration before FINRA. [read post]
7 Jun 2019, 6:09 am
Securities and Exchange Commission, on Wednesday, June 5, 2019 Tags: Broker-dealers, Conflicts of interest, Disclosure, Fiduciary duties, FINRA, Investment advisers, Investor protection, Retail investors, SEC, SEC rulemaking, Securities regulation Statement on Final Rules Governing Investment Advice Posted by Robert J. [read post]
6 Jun 2019, 1:44 pm
Peavler is a lifelong Texan who received his law degree from the University of Texas and his undergraduate degree in accounting and economics from Baylor University.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
6 Jun 2019, 12:44 pm
If a registered broker breaks FINRA rules, the brokerage firm may still be liable for negligent supervision of their broker representative and may be responsible for investment losses in a FINRA dispute resolution claim. [read post]
6 Jun 2019, 12:18 pm
Claims may be brought in securities arbitration before FINRA. [read post]
6 Jun 2019, 12:12 pm
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
6 Jun 2019, 11:18 am
The post FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations appeared first on Securities Fraud Attorney. [read post]
6 Jun 2019, 3:00 am
A decision in the District of New Jersey denied Dodd-Frank protection to an attorney fired for reporting to FINRA, rejecting the argument that this was tantamount to reporting to the SEC, which supervises FINRA, while still employed. [read post]
5 Jun 2019, 1:43 pm
According to the Financial Industry Regulatory Authority (FINRA), Tudor is reportedly barred from association with any FINRA member in all capacities. [read post]
5 Jun 2019, 12:59 pm
Attorney’s Office for the District of New Jersey.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
5 Jun 2019, 9:29 am
The Securities and Exchange Commission today voted to adopt a package of rulemakings and interpretations designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers, bringing the legal requirements and mandated disclosures in line with reasonable investor expectations, while preserving access (in terms of choice and cost) to a variety of investment services and products. [read post]
5 Jun 2019, 9:19 am
According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Sanchez from associating with any FINRA member at any time. [read post]
5 Jun 2019, 6:33 am
Claims may be brought in securities arbitration before FINRA. [read post]
5 Jun 2019, 6:32 am
Claims may be brought in securities arbitration before FINRA. [read post]
