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1 Jun 2019, 1:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4624/securities-industry-commentator/Courts Tell Divorced Stockbroker to Try A Little Bit Harder (BrokeAndBroker.com Blog)Final Defendant Pleads Guilty to $550 Million Ponzi Scheme—One of the Largest Ever Charged in Maryland / Jay Ledford Created False Documents to Conceal the Fraud; SEC Has Related Civil Action (DOJ Release)SEC Charges Issuer with… [read post]
1 Jun 2019, 1:51 am
Consider this recent FINRA arbitration.Case In PointIn a FINRA Arbitration Statement of Claim filed in August 2018, associated person Claimant Robinson sought the expungement of a te... [read post]
1 Jun 2019, 1:51 am
Consider this recent FINRA... [read post]
31 May 2019, 11:21 am
We represent investors in FINRA arbitration claims in all 50 states, including Arizona. [read post]
31 May 2019, 7:28 am
Claims may be brought in securities arbitration before FINRA. [read post]
30 May 2019, 12:06 pm
He is licensed as a certified public accountant and is a member of the New York State Bar Association.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
30 May 2019, 12:06 pm
Teotia received a B.S. in accountancy from the University of Illinois at Urbana-Champaign.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
30 May 2019, 6:35 am
We represent investors in FINRA arbitration claims in all 50 states, including New York. [read post]
30 May 2019, 6:16 am
Claims may be brought in securities arbitration before FINRA. [read post]
30 May 2019, 6:16 am
Claims may be brought in securities arbitration before FINRA. [read post]
30 May 2019, 5:54 am
FINRA Provides New Guidance for Communication When Brokers DepartRecognizing that investors can often be left out of the conversation when brokers depart a firm, the securities industry regulator, FINRA, has recently issued new guidance for registered brokerage firms concerning how they ought to communicate with investors when a broker departs. [read post]
29 May 2019, 5:06 pm
John Reed Stark In recent days, a number of leading retailers have announced that they are initiating processes to allow consumers to complete purchase transactions using bitcoin or other cryptocurrencies. [read post]
29 May 2019, 2:19 pm
For almost 30 years, we’ve worked with thousands of investors to help them get back their losses from investment fraud through Financial Industry Regulatory Authority (FINRA) arbitration, the American Arbitration Association (AAA), the New York Stock Exchange (NYSE), in private arbitration, and in Federal and state courts. [read post]
29 May 2019, 12:30 pm
Said Dispute was filed on December 21, 2017, and Damages Requested are $75,000, FINRA notes. [read post]
29 May 2019, 8:50 am
Two letters of suspension were sent to Hafen on 10/29/2018 and 11/23/2018, and was barred by FINRA on 2/1/2009 from associating with any FINRA member in any capacity. [read post]
29 May 2019, 8:37 am
A FINRA representative signed the letter on 12/13/2018, indefinitely barring Hellman in all capacities effective immediately, including affiliation with any FINRA broker firm. [read post]
29 May 2019, 8:06 am
FINRA then issued an Acceptance, Waiver & Consent (AWC) letter, which both Lopez and his attorney signed. [read post]
29 May 2019, 7:44 am
FINRA issued an Acceptance, Waiver & Consent (AWC) letter, and upon signature, barred Stevens indefinitely from any association with FINRA member firms in any capacity. [read post]
29 May 2019, 7:10 am
The FINRA database is publicly available for all to see. [read post]
29 May 2019, 6:54 am
Claims may be brought in securities arbitration before FINRA. [read post]
