Search for: "Finra"
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3 Apr 2020, 2:27 am
FINRA member firm Newport Coast Securities, Inc. was charged in part with failing to reasonably supervise. [read post]
15 May 2020, 4:55 am
Dukas, Respondent (FINRA AWC)... [read post]
27 Apr 2018, 4:30 am
Read OnYou Hear The One About The FINRA Arbitration Involving The Stockbroker With 36 BrokerCheck Disclosures? [read post]
11 Aug 2016, 12:00 am
FINRA determined that Merrill Lynch failed to disclose quarterly transaction costs of 1.5% per quarter. [read post]
8 Aug 2021, 6:58 am
” She is just one of many investors who are filing claims against brokers through FINRA Dispute Resolution, charging they unsuitably recommended and sold Northstar’s fixed- and variable-rate annuity and other products that proved to be unsafe. [read post]
23 Apr 2021, 6:05 am
The fund’s “value plummeted 80% over two days in early February 2018, after brokers in the previous two years sold $18 million of its shares to more than 550 customers, prompted by sales calls in May 2016 from an LJM wholesaler,” the securities regulator FINRA stated. [read post]
1 Jun 2018, 2:53 pm
The FINRA arbitration complaint alleges $56,000 in damages. [read post]
10 Dec 2020, 8:40 am
Pandekakes recommended four unsuitable exchanges of variable annuities, in violation of FINRA Rules 2111, 2330, and 2010. [read post]
22 Oct 2018, 3:37 pm
Silver Law Group has filed a FINRA arbitration claim against Portfolio Advisors Alliance, LLC after its brokers excessively traded (churned) the Claimant’s account. [read post]
23 Nov 2020, 10:04 am
In October 2020, FINRA suspended financial advisor Neemit M. [read post]
8 Mar 2022, 3:00 am
FINRA Arbitration Ruling Grants Largest UBS YES Award to Date A Financial Industry Regulatory Authority (FINRA) arbitration panel has awarded a deceased investor’s family trusts $1.857M in their securities case against UBS Financial. [read post]
28 Oct 2020, 6:45 am
Florida Financial Advisor is Named in at Least 10 FINRA Cases, Including One $25 Million Claim If you suffered losses while working with UBS Financial Services (UBS) stockbroker, Jose Manuel Cornide, Jr., you may be able to file a Financial Industry Regulatory Authority (FINRA) arbitration claim for your losses. [read post]
28 Sep 2010, 10:09 am
FINRA today announced that it will file a proposed rule change with the SEC next month to give investors the ability to have an all public arbitration panel to hear claims in arbitration cases before FINRA Dispute Resolution. [read post]
6 Feb 2019, 12:26 pm
(CRD #13366, expelled by FINRA on 10/9/2012), both of Uniondale, NY, and JHS Capital Advisors, Inc. [read post]
19 Feb 2019, 1:51 pm
(CRD #21786), Chicago Investment Group, LLC (CRD #11853, expelled by FINRA on 9/14/2010) and Eastbrook Capital Group LLC (CRD #39781, expelled by FINRA on 9/23/2009), all of New York City. [read post]
28 Dec 2020, 3:10 pm
FINRA alleged that between January and August 2018, while employed by J.P. [read post]
4 Jan 2021, 8:04 am
FINRA’s findings also said that the firm interfered with customers’ requests to transfer their accounts to another member firm. [read post]
21 Dec 2009, 6:40 am
According to a recent InvestmentNews article by Sara Hansard (“Finra to get tough on Red D offerings,” Dec. 13, 2009), FINRA says it is “getting tough” and plans to file regulatory actions against brokerage firms involved in selling private-placement offerings next year. [read post]
22 Jun 2020, 6:48 am
In January 2018 FINRA barred Krumrey for failing to respond to FINRA’s requests for information. [read post]
14 Oct 2017, 10:42 am
The majority of these claims may be brought in securities arbitration before FINRA. [read post]
