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29 Dec 2018, 7:39 am
Claims may be brought in securities arbitration before FINRA. [read post]
28 Dec 2018, 1:52 pm
There are three disclosures in Makharia’s FINRA record. [read post]
28 Dec 2018, 1:12 pm
Silver Law Group represented the Claimant in a FINRA arbitration claim against Texas E&P Partner, Inc. and Mark Plummer. [read post]
28 Dec 2018, 10:12 am
FINRA – Essential Investor Tips for 2019 The Financial Industry Regulatory Authority (FINRA) just released an Investor Alert on essential investor tips for 2019. [read post]
28 Dec 2018, 9:47 am
Jamison has not been employed in the securities industry since January 2018, but he remains subject to FINRA jurisdiction pursuant to Article V, Section 4 of FINRA’s By-Laws, FINRA notes. [read post]
28 Dec 2018, 9:31 am
Christopher Hellman Barred by FINRA Christopher Hellman has been barred by FINRA from associating with any FINRA member for alleged failure to provide FINRA with requested documents and information during its investigation into a matter after receiving a Form U5 filed by Merrill Lynch, Pierce, Fenner & Smith Inc., FINRA notes. [read post]
28 Dec 2018, 7:16 am
In my private law practice, I frequently receive telephone calls from registered representatives who have an Employee Forgivable Loan (also known as a "Promissory Note" or "EFL") and are contemplating quitting or anticipate being fired from the employer broker-dealer. [read post]
28 Dec 2018, 7:15 am
Unstrained Mercy Gently Rains Down After FINRA Bar (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/4368/finra-indiana-insurance/On a rainy evening in 2011, stockbroker and insurance agent Jeffrey A. [read post]
28 Dec 2018, 7:15 am
In accordance with the terms of the AWC, FINRA imposed upon Weakland a $3,500 fine and a two-month suspension in all capacities. [read post]
28 Dec 2018, 6:24 am
Claims may be brought in securities arbitration before FINRA. [read post]
28 Dec 2018, 6:24 am
Claims may be brought in securities arbitration before FINRA. [read post]
27 Dec 2018, 4:30 pm
(“ER12”) — may be able to recover investment losses through FINRA arbitration, in the event that the investor’s broker lacked a reasonable basis for the recommendation, or if the nature of the investment including its many risk components was misrepresented by the financial advisor. [read post]
27 Dec 2018, 11:41 am
(FINRA Case #2012034389202) Bernard G. [read post]
27 Dec 2018, 10:50 am
After taking time to consider responses to its prior request for comments, FINRA's board has approved a new rule proposal to prohibit "compensated non-attorney representatives from practicing in the... [read post]
27 Dec 2018, 9:08 am
Michael Kurtz Barred by FINRA for Alleged Failure to Provide FINRA with Requested Documents Michael Kurtz, based on the alleged aforementioned behavior, fell under the scope of a FINRA investigation, FINRA states. [read post]
27 Dec 2018, 8:23 am
The examination priorities are broken down into six categories: (1) compliance and risk at registrants responsible for critical market infrastructure; (2) matters of importance to retail investors, including seniors and those saving for retirement; (3) FINRA and MSRB; (4) digital assets; (5) cybersecurity; and (6) anti-money laundering programs. [read post]
27 Dec 2018, 5:41 am
[National Law Journal] * Morgan Stanley hit with $10 million fine from FINRA proving there are still some regulators doing their jobs in this administration. [read post]
26 Dec 2018, 12:51 pm
For more information on The White Law Group and its representation of investors in FINRA arbitration claims, visithttp://www.whitesecuritieslaw.com. [read post]
26 Dec 2018, 6:46 am
Said private placement offering was allegedly conducted for Digi Outdoor Media, Inc., FINRA reports. [read post]
25 Dec 2018, 7:23 am
Said complaint is final and was filed on November 5, 2018, FINRA states. [read post]
