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10 Mar 2019, 8:45 am
” In deciding the meaning of this term, the court read and interpreted FINRA and CBOE regulations and then applied its reading of the regulations, on summary judgment. [read post]
8 Mar 2019, 12:44 pm
The first is by the state of Massachusetts, with two additional separate investigations by FINRA and the SEC. [read post]
8 Mar 2019, 12:30 pm
They must ensure that those advisors are complying with applicable FINRA rules and regulations. [read post]
8 Mar 2019, 8:54 am
Good Intentions Pave Merrill Lynch Stockbroker's Retirement Highway to Hell (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4482/finra-merrill-lynch-team/Two veteran, female Wall Street stockbrokers worked at UBS before joining Merrill Lynch. [read post]
8 Mar 2019, 3:30 am
But for Texans across the globe, this is our day. http://fcpacompliancereport.com/2019/03/19018/ SEC Investigations 101: The Wells Notice (Part 1) by Dan Portnov in Grand Jury Target The process by which the Enforcement staff notifies you of impending proceedings against you – either in federal court or its in-house administrative process – begins with the Wells Notice.The Wells Notice is named after the chair of 1972 SEC special committee that gave the following… [read post]
7 Mar 2019, 3:47 pm
Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (known as “FINRA”), the FBI, and the State of Massachusetts are investigating GPB Capital Holdings LLC (“GPB”) in probes reportedly concerning the accuracy of GPB’s disclosures of financial information to their investors. [read post]
7 Mar 2019, 11:59 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
7 Mar 2019, 11:37 am
FINRA Arbitrations Take Several Months to More Than a Year to ResolveAccording to FINRA’s latest statistics, all arbitration proceedings take an average of 14.2 months to close. [read post]
7 Mar 2019, 11:26 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]
7 Mar 2019, 11:25 am
Firms that fail to do so, may be held responsible for any losses in a FINRA arbitration claim. [read post]
7 Mar 2019, 10:59 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]
7 Mar 2019, 9:42 am
(FINRA Case #2017053342601) Brian John Hussey Jr. [read post]
6 Mar 2019, 12:25 pm
FINRA has a six-year eligibility period, and the clock on Puerto Rico’s bond debacle may have started ticking at the time of the historic bond market crash in 2013. [read post]
6 Mar 2019, 10:02 am
[contact-form-7] Contact UsShow less Raymond Malicki Barred by FINRA after Allegedly Refusing to Appear for FINRA on-the-record Testimony Raymond Malicki, based on the alleged aforementioned behavior, fell under the scope of a FINRA investigation, FINRA notes. [read post]
6 Mar 2019, 5:00 am
In their alert, FINRA and the SEC’s OIEA cautioned investors to make sure they understand the following when opting for an SBLOC: The terms of their agreement, including whether monthly interest fees may fluctuate How their holdings may be impacted The risks involved Any possible, related costs The regulators are also advising investors to understand who the lender of the SBLOC actually is–it may be a third party and not your brokerage firm– and whether it makes… [read post]
5 Mar 2019, 1:48 pm
By then, many investors are shocked to learn that they cannot take their securities case in front of a jury of their peers, but instead must litigation through the arbitration forms administered by FINRA for financial advisors and the American Association of Arbitration for investment advisors. [read post]
5 Mar 2019, 12:47 pm
If so, the securities fraud attorneys at The White Law Group may be able to help you by filing a FINRA arbitration claim. [read post]
5 Mar 2019, 12:00 pm
Investors can quickly and easily research a prospective financial advisor by using a free tool provided by the Financial Industry Regulatory Authority, FINRA BrokerCheck. [read post]
5 Mar 2019, 9:56 am
The visit took place a few months after both the US Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (Finra) launched separate probes into the firm, which claims to have raised $1.8B from accredited, high net worth investors via private placement funds invested in waste management and car dealerships. [read post]
5 Mar 2019, 9:28 am
Investors who believe they lost money as a result of Brent Borland’s alleged securities fraud may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage. and executed unauthorized trades, FINRA states. [read post]
