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25 Jan 2021, 1:32 pm
Tavel joined the securities industry in 2004 according to this FINRA Brokercheck page. [read post]
25 Jan 2021, 1:32 pm
Tavel joined the securities industry in 2004 according to this FINRA Brokercheck page. [read post]
12 Feb 2015, 6:48 am
For the full FINRA findings, see FINRA Case #2014041898801. [read post]
20 Jul 2016, 10:44 am
It is being reported that FINRA’s board of governors is privately debating the creation of a relief fund for unpaid arbitration awards. [read post]
6 Aug 2013, 9:58 am
According to his FINRA Broker Report, Mickelson was registered with NFP Securities in Oceanside, California from March 2004 through May 2011. [read post]
11 Nov 2015, 12:31 pm
For FINRA’s full findings, see Case #2012032782403. [read post]
20 Mar 2012, 6:56 am
The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group. [read post]
18 Mar 2013, 1:19 pm
Broker-dealers that breach their fiduciary duty to clients may be responsible for investment losses through a FINRA arbitration claim. [read post]
31 May 2018, 4:00 am
FINRA rules, SEC regulations and securities laws exist to encourage brokerage firms to protect their investor’s information. [read post]
26 Jan 2012, 7:00 am
It is likely this deliberate attempt to circumvent FINRA’s jurisdiction that resulted in the large fine. [read post]
15 Jul 2010, 9:53 am
FINRA’s broker profile (also known as a “CRD”) will now contain reported complaints and disciplinary actions going back to 1999 for current and former brokers. [read post]
12 Feb 2015, 6:50 am
For the full FINRA findings, see FINRA Case #2013039013601. [read post]
15 Jan 2014, 2:24 pm
Broker-dealers that overlook FINRA suitability requirements can be liable for investment losses through FINRA arbitration. [read post]
31 May 2018, 4:00 am
FINRA rules, SEC regulations and securities laws exist to encourage brokerage firms to protect their investor’s information. [read post]
19 Aug 2016, 8:17 am
In response to public comments, however, FINRA proposed to add transactions in U.S. [read post]
7 Apr 2022, 12:30 pm
According to her FINRA BrokerCheck report, Smith has two customer complaints filed against her. [read post]
10 Feb 2011, 6:50 am
Smith Barney (FINRA 08-04466). [read post]
22 Mar 2022, 11:04 am
This was material information that should have been disclosed, according to FINRA. [read post]
17 Jul 2012, 6:40 am
If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
11 Jul 2012, 12:36 pm
If so, the securities attorneys of The White Law Group may be able to help you recover your losses through FINRA arbitration. [read post]
