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18 Jan 2019, 7:08 am
The Sole FINRA Arbitrator recommended expungment and made a FINRA Rule 2080 finding that the customer's claim, allegation, or infor... [read post]
18 Jan 2019, 12:00 am
Jason Daugherty has made lengthy comments responding to the aforementioned allegations which can be found on his FINRA BrokerCheck report, FINRA states. [read post]
17 Jan 2019, 1:11 pm
FINRA barred him from the securities industry last March. [read post]
17 Jan 2019, 12:49 pm
The Financial Industry Regulatory Authority (FINRA) reportedly barred Buck from practicing in the securities industry in July 2015. [read post]
17 Jan 2019, 12:23 pm
She worked for IMS since 1994, and the firm was expelled by FINRA on 9/04/2018. [read post]
17 Jan 2019, 12:04 pm
The aforementioned pending dispute was filed on December 20, 2018, FINRA states, and is requesting $348,366.85 in damages, FINRA states. [read post]
17 Jan 2019, 7:28 am
On October 30, 2018, FINRA barred Flores indefinitely and in all capacities from any association with a FINRA member. [read post]
17 Jan 2019, 7:02 am
In the letter, FINRA indefinitely barred Herrera in all capacities. [read post]
16 Jan 2019, 12:48 pm
Continue reading The post FINRA Bars Ft. [read post]
16 Jan 2019, 10:20 am
If you suffered losses investing in Puerto Rico bonds, the attorneys at The White Law Group may be able to help you recover your losses by filing a FINRA Arbitration claim against the brokerage firm that recommended the investment to you. [read post]
16 Jan 2019, 8:00 am
Investment adviser representatives registered before January 1, 2019 (unless they change advisers) and IAR’s already registered with FINRA do not need to submit fingerprints. [read post]
16 Jan 2019, 8:00 am
Investment adviser representatives registered before January 1, 2019 (unless they change advisers) and IAR’s already registered with FINRA do not need to submit fingerprints. [read post]
16 Jan 2019, 8:00 am
Investment adviser representatives registered before January 1, 2019 (unless they change advisers) and IAR’s already registered with FINRA do not need to submit fingerprints. [read post]
16 Jan 2019, 7:58 am
Steven Knuttila has worked for 19 years in the securities industry with 5 different firms, and has 40 disclosures on his FINRA BrokerCheck Report including 16 pending customer complaints, FINRA notes. 15 of said pending customer disputes have been filed since October 16, 2017, FINRA notes. [read post]
15 Jan 2019, 2:46 pm
Brian Royster Barred by FINRA in 2017; Royster Allegedly Violates Firm Policy by Borrowing form a Client Brian Royster allegedly borrowed money from clients, and was thus terminated by his member firm, and subsequently barred by FINRA in all capacities starting on November 21, 2017, FINRA states. [read post]
15 Jan 2019, 2:41 pm
Said dispute is requesting damages of $5,000.00, FINRA notes. [read post]
15 Jan 2019, 11:53 am
According to the FINRA BrokerCheck, there have been complaints against Mr Bataan. [read post]
15 Jan 2019, 11:40 am
“Selling Away” – Can FINRA brokerage firm’s be held responsible for the investment losses incurred on investments sold directly by their agent/advisor to the client even if the investment was not authorized by the firm? [read post]
15 Jan 2019, 10:24 am
Our Puerto Rico investor fraud lawyers have been working with retail investors, small business owners, and institutional investors on the island and the mainland to bring their securities arbitration claims before the Financial Industry Regulatory Authority (FINRA). [read post]
15 Jan 2019, 10:05 am
(FINRA Case #2017056130301) Andrew Jay Lowe (CRD #4636118, Leesburg, Alabama) – An AWC (Accept, Waiver, & Consent) was issued in which Lowe was assessed a deferred fine of $20,000, suspended from association with any FINRA member in all capacities for nine months and ordered to pay $36,180.87, plus interest, in deferred disgorgement of commissions received. [read post]
