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6 Feb 2019, 1:15 pm
BrokerCheck now reports that Sandlapper Wealth Management, LLC has discharged him from their employment as of 8/31/2018 after he was barred by FINRA. [read post]
6 Feb 2019, 1:07 pm
FINRA then barred Yassin indefinitely from affiliation with any FINRA member effective 11/26/2018. [read post]
6 Feb 2019, 12:48 pm
Seven of Offen’s previous employers have been expelled from FINRA: Obsidian Financial Group, LLC (CRD#:104255), Woodbury, NY, expelled on 10/16/2013 Continue reading The post FINRA Suspends Jeffrey Offen appeared first on Securities Arbitration Lawyers Blog. [read post]
6 Feb 2019, 12:44 pm
” For FINRA’s full findings, see FINRA case # NO. 2015046378601. [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]
6 Feb 2019, 7:05 am
Claims may be brought in securities arbitration before FINRA. [read post]
6 Feb 2019, 7:04 am
Claims may be brought in securities arbitration before FINRA. [read post]
6 Feb 2019, 7:04 am
Claims may be brought in securities arbitration before FINRA. [read post]
6 Feb 2019, 5:26 am
In today's featured FINRA regulatory settlement, we come across a Merrill Lynch iconoclast who aspired to fly beneath his firm's compliance radar. [read post]
5 Feb 2019, 2:26 pm
Merrill Lynch Pierce Fenner & Smith Inc., FINRA Office of Dispute Resolution Case No.: 18-00845. [read post]
5 Feb 2019, 1:33 pm
Liju Varghese Barred by FINRA Liju Varghese was barred by FINRA after allegedly refusing to appear for FINRA on-the-record testimony in connection with an investigation into the aforementioned alleged unauthorized trading, FINRA states. [read post]
5 Feb 2019, 1:16 pm
” This discharge led to the FINRA investigation, in which he declined to participate. [read post]
5 Feb 2019, 12:31 pm
According to his FINRA BrokerReport, Dean Harrison Grant, is affiliated with MF Holdings Securities, in Milledgeville, Georgia since September 2014. [read post]
5 Feb 2019, 12:20 pm
They must ensure they are complying with FINRA rules. [read post]
5 Feb 2019, 11:42 am
The FINRA arbitration complaint alleges the Arete Wealth Management broker held them for far longer than one day – in some cases months. [read post]
5 Feb 2019, 8:46 am
For FINRA’s full findings see FINRA case # 2016051482301. [read post]
5 Feb 2019, 7:51 am
You've been there. [read post]
4 Feb 2019, 2:18 pm
Investors Alleging Negligence and Mishandling of Their Retirement Funds Win FINRA Case A Financial Industry Regulatory Authority (FINRA) panel arbitration is ordering First Allied Securities and financial adviser Larry Glenn Boggs to pay claimants and early retirees Nita and Mike Snow over $578K in compensatory damages, $500,000 in punitive damages, $350K in attorney’s fees, and $60K in other costs related to losses they sustained. [read post]
4 Feb 2019, 2:09 pm
The aforementioned dispute was filed on December 3, 2018, FINRA states, and is requesting damages of $90,198.00, FINRA states. [read post]
4 Feb 2019, 7:45 am
A recent judgment in FINRA arbitration for nearly a quarter of a million dollars against a broker who sold Woodbridge notes to investors has struck fear in the hearts of many B-Ds that weren’t paying attention to their brokers over the past few years. [read post]
