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17 May 2019, 1:42 pm
Back in August, we told you about Bradley Joseph Tennison (CRD#: 156988), who was barred by FINRA after his discharge from Genos Wealth Management of Mesa, AZ. [read post]
17 May 2019, 1:18 pm
Back in June, we told you about John Greg Schmidt (CRD#: 708094) who was barred by FINRA after a series of allegations of misappropriation of funds. [read post]
17 May 2019, 1:03 pm
FINRA also found that many firms had no safeguards to prevent excessive trading in customer accounts. [read post]
17 May 2019, 11:20 am
As a result, FINRA barred Rodriquez indefinitely, and in all capacities. [read post]
17 May 2019, 10:40 am
The post FINRA Suspends John-Aaron Lenhert After Loans From Firm Clients appeared first on Securities Arbitration Lawyers Blog. [read post]
17 May 2019, 9:41 am
The sole FINRA Arbitrator slams Claimant and his counsel for not producing the settlement agreement. [read post]
17 May 2019, 9:41 am
The sole FINRA Arbitrator slams Claimant and his counsel for not producing the settlement agreement. [read post]
17 May 2019, 9:41 am
Cento Fine Foods sued by customers claiming San Marzano tomatoes are not authentic: reports (FoxBusiness.com) SEC, NASAA, and FINRA Issue Senior Safe Act Fact Sheet to Help promote Greater Reporting of Suspected Senior Financial Exploitation (FINRA Press Release)Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely (BrokeAndBroker.com Blog)Josh Brown: T... [read post]
17 May 2019, 9:41 am
In FINRA v. [read post]
17 May 2019, 9:41 am
Merrill Lynch Wins Motion to Dismiss Stale Customer Claims -- But Barely (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4605/merrill-lynch-finra/In a recent FINRA public customer arbitration against Merrill Lynch, the FINRA Arbitration Panel dismissed the claims as being filed too late. [read post]
17 May 2019, 9:09 am
The FINRA investigation is separate from the criminal case in Wisconsin. [read post]
17 May 2019, 7:45 am
The most recent is a letter from FINRA barring Robert Witt from associating with any FINRA member broker-dealer. [read post]
17 May 2019, 7:28 am
We represent investors in FINRA arbitration claims in all 50 states, including Florida. [read post]
17 May 2019, 7:19 am
FINRA then sent two notices of suspension to Minichino, on 9/17/2018 and 10/11/2018. [read post]
16 May 2019, 1:55 pm
The post FINRA Bars Omar K. [read post]
16 May 2019, 1:30 pm
He has worked in the financial industry since 1997, and now has a total of 19 disclosures dating back to 1999, primarily customer disputes and FINRA arbitration claims. [read post]
16 May 2019, 12:44 pm
FINRA barred Crocker in all capacities, effective 12/14/2018. [read post]
16 May 2019, 10:53 am
He is no longer barred from affiliating with a FINRA member firm. [read post]
16 May 2019, 8:32 am
We represent investors in FINRA arbitration claims in all 50 states, including New York. [read post]
16 May 2019, 8:27 am
A Financial Industry Regulatory Authority (FINRA) panel has ordered Pershing, LLC to pay $1.4m to six investors who lost money in R. [read post]
