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27 Jul 2009, 10:37 am
Financial Industry Regulatory Authority (FINRA) today announced a cooperation agreement whose objective is to "enhance the effectiveness of both organizations through the exchange of information and other cross-border assistance. [read post]
16 Sep 2013, 11:07 am
District Court for the Southern District of New York said FINRA’s arbitration code does not permit class or collective actions. [read post]
10 Aug 2018, 12:55 pm
For FINRA’s full findings see FINRA case # 2018058446601. [read post]
17 May 2013, 4:49 am
Stay tuned for the next installment of FINRA v. [read post]
23 Dec 2016, 6:50 am
For FINRA’s full finding see FINRA case # 2013037385001. [read post]
8 Jun 2018, 6:46 am
Fortunately, in the appropriate circumstances, brokers can have marks removed from the CRD in FINRA arbitration or court proceedings. [read post]
16 Aug 2017, 10:59 am
For FINRA’s full findings see FINRA Case #2012030422902. [read post]
8 Jun 2018, 6:46 am
Fortunately, in the appropriate circumstances, brokers can have marks removed from the CRD in FINRA arbitration or court proceedings. [read post]
4 Aug 2016, 11:21 am
KCD Financial, an independent broker-dealer since 2003, is a FINRA member firm. [read post]
6 May 2015, 3:39 pm
FINRA also found the firm failed to monitor and deliver to customers more that 14 million trade confirmations. [read post]
22 Jun 2012, 7:48 am
The Florida securities lawyers at McCabe Rabin, P.A. represent investors nationwide in FINRA arbitration matters. [read post]
14 Jan 2019, 12:48 pm
Leone was barred from association with any FINRA member in all capacities. [read post]
11 Jan 2011, 8:44 pm
The findings made by the SEC and FINRA are set forth in the following press releases: SEC Press Release FINRA Press Release As part of the settlement, Schwab neither admitted nor denied any of the findings issued by the SEC and FINRA. [read post]
17 Jun 2011, 7:18 am
Securities regulator FINRA (the Financial Industry Regulatory Authority) recently accused David Lerner Associates, Inc. of misleading investors, and not conducting due diligence, in connection with its sales of non-traded REITs, particularly its current offering, Apple REIT 10. [read post]
16 Nov 2011, 6:11 am
FINRA also found that Chase failed to implement supervisory procedures to reasonably supervise its sales of UITs and floating-rate loan funds. [read post]
22 Dec 2009, 9:37 am
FINRA and the SEC have recently stepped up enforcement and oversight activities involving the fraudulent sale of private placement offerings, also known as Regulation D offerings. [read post]
19 Aug 2010, 1:10 pm
If you are under investigation by FINRA, understand that FINRA Rule 8210 requires you to cooperate in their examination, and that means that you have to tell the truth. [read post]
21 Oct 2020, 8:52 am
Financial Advisor Sean Refsnider, Ameriprise Financial Services in Haddon Heights, NJ FINRA Reportedly Bars Sean Refsnider after Allegations of Stealing Funds from Elderly Client According to ThinkAdvisor on October 16, The Financial Industry Regulatory Authority (FINRA) has reportedly barred ex-Ameriprise advisor, Sean Refsinider after he allegedly converted $42,000 from an elderly client for his own use. [read post]
Silver Law Group Represents Victims Of GPB Funds Ponzi Scheme In Claims Against HighTower Securities
31 Aug 2021, 7:25 am
FINRA-registered brokers and firms are subject to arbitration to resolve disputes. [read post]
9 Nov 2021, 5:48 pm
On November 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Aegis Capital Corp. [read post]
