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27 Jan 2012, 7:15 am
This information which is publicly available on FINRA’s website has been provided by The White Law Group, LLC. [read post]
6 Apr 2021, 7:08 am
FINRA Sanctions Credit Suisse Securities for Supervisory Issues According to a Letter of Acceptance Waiver and Consent posted on FINRA’s site on April 5, the regulator has censured and fined Credit Suisse Securities USA (CRD #816) $345,000 for supervisory issues. [read post]
6 Jun 2017, 12:32 pm
According to FINRA’s BrokerCheck records for Walker, there are several settled disclosures on her record. [read post]
19 Nov 2019, 12:20 pm
Thomas Laws of Silver City, New Mexico charged by the SEC and Barred by FINRA Thomas Laws, a registered representative from Silver City, New Mexico, formerly with HD Vest Investment Services, was barred from FINRA membership as a result of an SEC investigation into alleged misconduct in his handling of investor funds. [read post]
18 Nov 2022, 10:55 am
There are thousands of investors in the GWG-Bonds and very few have actually filed FINRA claims. [read post]
27 Jun 2016, 4:03 am
After all, firm culture is a FINRA exam priority. [read post]
15 Nov 2023, 8:39 pm
Investors File FINRA Lawsuit Seeking Up To $1M In Damages from Ameriprise Financial For years the Financial Industry Regulatory Authority (FINRA) has been cautioning brokers against selling variable life insurance to retirees. [read post]
2 Nov 2010, 1:20 pm
One possibility that is sure to be considered is whether to recommend that Congress authorize the creation of a SRO (self-regulatory organization) to regulate investment advisors, in a similar fashion to FINRA being a SRO for broker-dealers (and speaking of FINRA, they have publicly opined that investment advisors need a SRO, and that they'd be a good fit for such a job). [read post]
14 Nov 2018, 12:59 pm
Thomas Edison Kelly, Jr (CRD #2877415) is a registered FINRA broker who is currently employed with Aegis Capital Corporation (CRD #15007) of New York, NY. [read post]
25 Mar 2024, 8:44 pm
What Should You Expect When Filing A FINRA Lawsuit? [read post]
17 Jul 2017, 1:07 pm
Goldman’s FINRA BrokerCheck record shows several disclosures mainly pertaining to unsuitable investments. [read post]
6 May 2016, 8:01 am
The research was made possible with funding from the AARP Fraud Watch Network and the FINRA Investor Education Foundation. [read post]
3 Oct 2023, 8:38 am
These claims for investment losses have been filed in FINRA arbitration against Mr. [read post]
14 May 2018, 10:16 am
According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Westport Capital Markets broker Emil Skyba violated securities laws. [read post]
29 May 2012, 12:33 pm
See FINRA Notice 12-21 (PDF). [read post]
8 Nov 2016, 7:20 am
For FINRA’s full findings see FINRA case # 2013037401001. [read post]
2 Feb 2017, 8:46 am
In one case (FINRA Case No. 13-00830) where which Mr. [read post]
27 Dec 2017, 7:25 am
For FINRA’s full findings see FINRA Case # 2013036343601 Investigating Potential Claims The White Law Group is investigating the liability that Raymond James Financial Services may have for losses sustained by their clients. [read post]
9 Aug 2018, 12:30 pm
The issue concerns FINRA Rule 12200 [materials], which requires a FINRA member to arbitrate any dispute with a customer upon the customer’s request. [read post]
20 Feb 2020, 11:54 am
According to public records, on November 5, 2019, McKinney was reportedly named a respondent in a FINRA complaint alleging “that he failed to comply with FINRA requests for information, documents and on-the-record testimony in connection with an investigation of him for possible violations of FINRA rules. [read post]
