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26 Apr 2019, 1:47 am
The proliferation of "website spoofing" has apparently spread into the FINRA member firm community, which prompted the publication of "Imposter Websites Impacting Member Firms" (FINRA Information Notice / April 29, 2019) http://www.finra.org/sites/default/files/notice_doc_file_ref/Information-Notice-042919.pdf As reported in part in FINRA's Information Notice:[A]n imposter website typically is designed to mimic a member firm’s actual… [read post]
25 Apr 2019, 12:33 pm
For FINRA’s full findings, see FINRA case # 2014042876501. [read post]
25 Apr 2019, 12:02 pm
The post FINRA Names Individuals Barred in April 2019 for Failing to Comply with FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
25 Apr 2019, 11:59 am
The post In April 2019, FINRA Suspends Registered Individuals for Violations of FINRA Rules appeared first on Securities Arbitration Lawyers Blog. [read post]
25 Apr 2019, 11:56 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]
25 Apr 2019, 10:59 am
Thereafter, according to Olinde’s BrokerCheck, Olinde has been subject to a FINRA investigation regarding his outside business activity. [read post]
25 Apr 2019, 10:59 am
Claims may be brought in securities arbitration before FINRA. [read post]
25 Apr 2019, 10:27 am
Our attorneys represent investors in claims against stockbrokers through FINRA or securities arbitration in state or federal court against the issuers. [read post]
25 Apr 2019, 9:56 am
If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim against the brokerage firm that sold you the investment. [read post]
25 Apr 2019, 7:12 am
” Following is an excerpt: On April 5, 2019, FINRA published Regulatory Notice 19-10 (the “Notice”) addressing the responsibilities of member firms when communicating with customers about departing registered representatives. [read post]
25 Apr 2019, 7:11 am
With FINRA’s issuance of Regulatory Notice 19-10, member firms should take the opportunity to review their policies and procedures regarding communications with customers at the time of registered representative departures to ensure that they are compliant with FINRA’s expectations. [read post]
25 Apr 2019, 7:11 am
With FINRA’s issuance of Regulatory Notice 19-10, member firms should take the opportunity to review their policies and procedures regarding communications with customers at the time of registered representative departures to ensure that they are compliant with FINRA’s expectations. [read post]
25 Apr 2019, 6:33 am
The Alert also serves as a complement to FINRA’s 2018 Report on Selected Cybersecurity Practices, which set forth FINRA’s observations regarding effective practices that firms have implemented to address cybersecurity risks, including risks related to identity theft. [read post]
24 Apr 2019, 6:49 pm
Four FINRA Panels have issued awards thus far, all of them finding Credit Suisse terminated its advisers without cause and ordering it to pay deferred compensation. [read post]
24 Apr 2019, 1:03 pm
Darrin Barton Farrow has 6 disclosures throughout his 26 years in the securities industry with 8 different firms, FINRA notes in his BrokerCheck report. [read post]
24 Apr 2019, 11:38 am
We represent investors in FINRA arbitration claims in all 50 states, including North Carolina. [read post]
24 Apr 2019, 11:04 am
FINRA Broker Disciplinary Action Report: April 2019Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
23 Apr 2019, 10:08 pm
(“CVMC REIT II”) may have FINRA arbitration claims, if their investment was recommended by a financial advisor who lacked a reasonable basis for the recommendation, or if the nature of the investment was misrepresented by the stockbroker or advisor. [read post]
23 Apr 2019, 2:14 pm
Claims may be brought in securities arbitration before FINRA. [read post]
23 Apr 2019, 2:13 pm
Claims may be brought in securities arbitration before FINRA. [read post]
