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8 Jan 2019, 1:41 am
In today's featured FINRA regulatory settlement, a stockbroker is fined and suspended for introducing two acquaintances to a profitable real estate deal in Nepal. [read post]
7 Jan 2019, 11:35 am
Shepherd Smith Edwards and Kantas, LLP (SSEK Law Firm) has been working with investors in Puerto Rico and on the mainland by helping them to bring their Puerto Rico securities fraud claims in Finra arbitration. [read post]
7 Jan 2019, 11:31 am
Firms that fail to perform adequate due diligence, or that make unsuitable recommendations, can be held responsible for losses in a FINRA arbitration claim. [read post]
7 Jan 2019, 9:57 am
In response to the former employer's FINRA arbitration, the former employee fights back with his own counterclaim. [read post]
7 Jan 2019, 9:03 am
FINRA arbitration claims. [read post]
7 Jan 2019, 8:10 am
FINRA Broker Disciplinary Action Report December 2018Each month, the agency that regulates the financial industry, FINRA (Financial Industry Regulatory Authority), produces a detailed report that runs down all disciplinary actions recently taken against brokerage firms and brokers. [read post]
7 Jan 2019, 4:59 am
If you don't understand all the ensuing moves and the endgame, don't worry -- there will be plenty of repeat matches with the same opening throughout 2019.Case In PointIn a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in April 2016, and as amended, associated person Claimant Gefen ultimately a... [read post]
6 Jan 2019, 11:58 am
FINRA can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. [read post]
5 Jan 2019, 9:32 am
FINRA RN 10-22 and FINRA Rule 2111.05 require brokerage firms to perform this due diligence to ensure, before selling these investments, that they are suitable for at least some clients. [read post]
4 Jan 2019, 12:32 pm
(predecessor to FINRA.) [read post]
4 Jan 2019, 11:28 am
This year’s examination priorities, although not exhaustive, are divided into 6 categories: Compliance and risk at registrants responsible for critical market infrastructure; Matters of importance to retail investors, including seniors and those saving for retirement; FINRA and MSRB; Digital assets; Cybersecurity; and Anti-money laundering programs. [read post]
4 Jan 2019, 8:52 am
Claims may be brought in securities arbitration before FINRA. [read post]
4 Jan 2019, 8:51 am
Claims may be brought in securities arbitration before FINRA. [read post]
4 Jan 2019, 8:30 am
Claims may be brought in securities arbitration before FINRA. [read post]
4 Jan 2019, 6:59 am
Claimant sought unspecified compensatory and punitive damages, fees, and costs, and the FINRA Arbit... [read post]
4 Jan 2019, 6:58 am
Smith (FINRA Office of Hearing Officers, Extended Hearing Panel Decision, Disc. [read post]
4 Jan 2019, 6:58 am
Carvallo, Respondent (FINRA AWC 2017054419802, January 8, 2019). [read post]
4 Jan 2019, 6:58 am
LPL Financial LLC, Respondent (FINRA Arbitration 18-01500, January 4, 2019)http://www.finra.org/sites/default/files/aao_documents/18-01500.pdfIn a FINRA Arbitration Statement of Claim filed in April 2018, public customer Claimant Nudelman asserted breach of fiduciary duty, negligence and negligent supervision, breach of contract and respondeat superior. [read post]
4 Jan 2019, 6:56 am
Schmidt’s Ponzi scheme is why the SEC and FINRA have mandated for generations now that brokerage firms adequately supervise their brokers. [read post]
4 Jan 2019, 4:03 am
Simpson, based on the aforementioned behavior, has been barred by FINRA, the AWC reports. [read post]
