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11 Feb 2019, 11:02 am
Specifically, of the more than 7,700 arbitrators available through FINRA, around 70% of them are male and most are white. [read post]
11 Feb 2019, 9:44 am
Free Consultation Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
11 Feb 2019, 9:31 am
A misunderstanding with FINRA’s rule caused LPL to ignore dozens of customer complaints. [read post]
11 Feb 2019, 9:19 am
Continue reading The post FINRA and SEC Follow Massachusetts in GPB Capital Investigations appeared first on Securities Arbitration Lawyers Blog. [read post]
11 Feb 2019, 5:37 am
In her essay, Professor Iannarone discusses the public availability of arbitration decisions arising out of the Financial Industry Regulatory Authority (“FINRA”) forum. [read post]
9 Feb 2019, 12:37 pm
Golan has been registered with Crystal Bay Securities in Delray Beach, Florida since March 21, 2007, FINRA states. [read post]
9 Feb 2019, 6:43 am
Is FINRA cowering under his spell? [read post]
8 Feb 2019, 1:58 pm
Frank Dietrich allegedly took in $261,000 in commissions from said sales, FINRA notes. [read post]
8 Feb 2019, 1:54 pm
And thus my dear Reader, you now know why FINRA members almost never ask for a reasoned Award, and why FINRA should change its rules to require one when requested by either party. [read post]
8 Feb 2019, 7:43 am
Investors are even buying stocks on margin again after margin debt sank more than $90 billion in the fourth quarter to $554 billion, the lowst level since December 2017, according to statistics from FINRA. [read post]
7 Feb 2019, 11:50 am
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visit https://www.whitesecuritieslaw.com. [read post]
7 Feb 2019, 11:47 am
She represents clients in both Oregon and Washington in trust and estate disputes, elder financial abuse, securities litigation, and investors nationwide in FINRA arbitration. [read post]
7 Feb 2019, 11:39 am
Ben Dembla – (Bhenoy Dembla) – Merrill Lynch – Chicago, IL According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred financial advisor Ben Dembla (CRD#4357042) from associating with any FINRA member at any time. [read post]
7 Feb 2019, 10:12 am
If so, the securities attorneys at The White Law Group may be able to help you recover your losses through a FINRA Dispute Resolution claim. [read post]
7 Feb 2019, 9:56 am
Michael Castillero – Alexander Capital LP – New York, New York According to the Financial Industry Regulatory Authority (FINRA), the regulator has reportedly barred Michael Castillero (CRD No. 4583917) from associating with any FINRA member at any time. [read post]
7 Feb 2019, 9:46 am
Finra also accused Dembla of submitting false entries for why customers were seeking to sell the funds. [read post]
7 Feb 2019, 9:06 am
This case represents FINRA’s first disciplinary action involving cryptocurrencies. [read post]
7 Feb 2019, 7:07 am
The most recent is a pending FINRA disciplinary complaint filed by their Department of Enforcement on 8/10/2018 (the full complaint is available here.) [read post]
6 Feb 2019, 2:17 pm
Finra documents name him as “Mr. [read post]
6 Feb 2019, 1:34 pm
After an investigation, FINRA suspended White on 8/10/2018 for four months, effective 8/20/2018. [read post]
