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24 May 2019, 9:08 am
Another FINRA Regulatory Settlement. [read post]
24 May 2019, 9:08 am
Another FINRA Regulatory Settlement. [read post]
24 May 2019, 9:08 am
But Stockbroker Still Forced Into FINRA Expungement Arbitration (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4613/finra-expungement/There is nothing more frustrating than knowing being wrongly named in something but the bureaucracy doesn't care. [read post]
24 May 2019, 9:08 am
Respectfully, we got a host and FINRA's CEO, a FINRA EVP, and a FINRA SVP all tied up doing a 32-minute podcast and, you know, that hardly strikes me as a great use of regulatory assets. [read post]
24 May 2019, 9:08 am
There is nothing more frustrating than knowing being wrongly named in something but the bureaucracy doesn't care. [read post]
24 May 2019, 7:25 am
Claims may be brought in securities arbitration before FINRA. [read post]
24 May 2019, 7:25 am
Claims may be brought in securities arbitration before FINRA. [read post]
23 May 2019, 2:00 pm
” A disclosure filed on 8/21/2018 states that Mohamed was indefinitely barred for allegation that “Respondent Yassin failed to respond to FINRA request for information. [read post]
23 May 2019, 1:39 pm
As a result of his financial situation, FINRA is not imposing a fine in the arbitration. [read post]
23 May 2019, 12:53 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]
23 May 2019, 12:28 pm
“Protecting senior investors has long been a top priority for FINRA,” said FINRA President and CEO Robert Cook. [read post]
23 May 2019, 9:53 am
The SEC does not allege wrongdoing with respect to these relief defendants.The SEC’s investigation was conducted by Peter Del Greco, Eric Shu and Maria Rodriguez, and supervised by Marc Blau, of the Los Angeles office, with the assistance of trial attorney Gary Leung, who will lead the litigation.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
23 May 2019, 7:53 am
Attorney's Office for the Western District of New York and the Federal Housing Finance Agency Office of Inspector General.SEC Press Release--- Looking for a securities lawyer for litigation, arbitration or an SEC or FINRA Investigation? [read post]
23 May 2019, 7:47 am
The post FINRA Suspends Registered Individuals in May 2019 for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
23 May 2019, 7:43 am
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]
23 May 2019, 7:37 am
Regulations Are Mute Concerning Client Bequests to BrokersAfter a Maryland financial advisor inherited $500,000 from an elderly client, lawmakers have asked the governing body of the securities industry, the Financial Industry Regulatory Authority (FINRA), to provide guidance over whether and how brokers can inherit wealth from customers, especially senior investors.Led by Nevada Senator Catherine Cortez Masto, the lawmakers sent a letter to FINRA President and CEO Robert W. [read post]
23 May 2019, 7:36 am
According to FINRA Disciplinary actions for May 2019, the following individuals were barred 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 Anderson, Andy ProEquities, Inc. [read post]
23 May 2019, 7:14 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
23 May 2019, 7:14 am
Claims may be brought in securities arbitration before FINRA. [read post]
23 May 2019, 6:39 am
IMS has withdrawn its Financial Industry Regulatory Authority (FINRA) registration and notified FINRA of its intention to close. [read post]
