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1 May 2019, 12:16 pm
Claims may be brought in securities arbitration before FINRA. [read post]
1 May 2019, 12:16 pm
Claims may be brought in securities arbitration before FINRA. [read post]
1 May 2019, 11:00 am
This is the last in our series on the FINRA expungement process, and, unfortunately, the future looks grim. [read post]
30 Apr 2019, 1:28 pm
Claims may be brought in securities arbitration before FINRA. [read post]
30 Apr 2019, 1:28 pm
Claims may be brought in securities arbitration before FINRA. [read post]
30 Apr 2019, 12:26 pm
The aforementioned dispute was filed on March 7, 2019, FINRA states, and the alleged damages are estimated to be in excess of $5,000.00, FINRA notes. [read post]
30 Apr 2019, 11:00 am
FINRA identifies specific grounds for expungement in FINRA Rule 2080. [read post]
29 Apr 2019, 3:43 pm
FINRA also established BrokerCheck to provide the public with information on members firms and their associated persons. [read post]
29 Apr 2019, 8:34 am
The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm. [read post]
29 Apr 2019, 7:48 am
FINRA Claim reportedly filed against Christopher C. [read post]
28 Apr 2019, 7:22 am
Claims may be brought in securities arbitration before FINRA. [read post]
26 Apr 2019, 10:55 am
We represent investors in FINRA arbitration claims in all 50 states, New York . [read post]
26 Apr 2019, 10:33 am
The ATS designation in this instance allows the firm to have a trading system/platform for previously issues equity securities (private placements) and not for tokens; however, it is generally viewed that this is the first step toward FINRA ultimately allowing for the ATS designation to apply to a token platform. [read post]
26 Apr 2019, 8:35 am
The two brokers, Glenn King and Ron Ison, were reportedly barred by FINRA. [read post]
26 Apr 2019, 8:28 am
The bulk of these funds came from fines imposed by FINRA. [read post]
26 Apr 2019, 6:36 am
Malecki Law’s securities lawyer team has been investigating into Corey Lee Mireau’s blemished background as well as his alleged violations of securities regulations including FINRA Rules 3240, FINRA Rule 3270, NASD Rule 3040 and subsequently FINRA Rule 2010. [read post]
26 Apr 2019, 1:47 am
Oh my, this is certainly going to be a mess of a FINRA ar... [read post]
26 Apr 2019, 1:47 am
FINRA Bars Former Merrill Lynch and Wells Fargo Rep. [read post]
26 Apr 2019, 1:47 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4564/securities-industry-commentator/"Protecting Investors from Misconduct / FINRA Requests Comment on Proposed New Rule 4111 (Restricted Firm Obligations) Imposing Additional Obligations on Firms with a Significant History of Misconduct" (FINRA Regulatory Notice 19-17) Bottle of White, Bottle of Red, Perhaps An… [read post]
26 Apr 2019, 1:47 am
This is an UPDATE "Banker's Affair With Customer's Husband Lands Safra in FINRA Arbitration" (BrokeAndBroker Blog / April 12, 2019) http://www.brokeandbroker.com/4531/finra-safra-arb/Today's blog features music videos by Carrie Underwood, Destiny's Child, and the Hollies. [read post]
